News & Events
AdvisorAssist – News and Events
- 2011
Industry Blog: Weekly Blog Contributions on ByAllAccounts (Sponsored by: ByAllAccounts. Contributors: Greg Brown, Brian Lauzon and Chris Winn)
- 10/18/11 — Take a “Time Out” to Create a Mission Statement (By: Brian Lauzon)
- 10/14/11 — SEC to State Transition (By: Greg Brown and Chris Winn)
Check the AdvisorAssist Blog or the ByAllAccounts Blog for current topics.
Contributor: SMA Managers Scout Social Media Marketing (Chris Winn) By: Tom Stabile (FUNDfire, October 17, 2011)
“The bigger development will be a full integration of customer relationship management technologies with social media, which is just around the corner, Winn adds…”
Presentation (Video): FundFire – Social Media Mistakes Center on Privacy Issues (Provided by FUNDfire on October 06, 2011. Presenter: Chris Winn)
“Christopher Winn, Managing Principal at AdvisorAssist, discusses the importance of including supervisory plans, and considering privacy issues, when firms are developing a social media strategy….”
Presentation (Video): FundFire – How to Control Risk in Social Media (Provided by FUNDfire on October 06, 2011. Presenter: Chris Winn)
“Social media is advertising,” says Christopher Winn, Managing Principal at AdvisorAssist. He discusses how firms can embrace social media while not running afoul of rules and regulations…”
Webinar: Interested in Social Media Marketing but Don’t Know Where to Start? (REPLAY) (Hosted by Interactive Advisory Software on September 28, 2011. Presenters: Brian Lauzon and Chris Winn)
Presentation: FPA of Middle Tennessee: Rules of the Road Using Social Media in a Financial Practice (September 21, 2011)
FPA 2011 Attendees Grouped Into Networking ‘Communities’ (Brian Lauzon) By: Katie Kuehner-Hebert (Financial Planning Magazine, September 15, 2011)
Presentation: Social Media Strategy and Compliance Presentation
Event: Financial Research Associates – 9th Annual Managed Accounts and UMA Summit (Boston, MA on September 12, 2011)
Description: How Are Advisors, Sponsors, Managers, and Retail Investors Using Social Media & Online Tools to Reduce Cost & Obtain Service?
Topics:
- Is the market ready to embrace online financial advice?
- What features do clients need for an efficient, high-quality advice experience online?
- What managed solutions products are likely to play in this new market?
- What are some of the emerging best practices in social media in this industry?
- How is social media changing the industry?
- Which social media outlets are actually useful and which are just time consuming traps?
Replay is available on FUNDFire.
Press Release: Expansion of Service Offerings and Leadership Team (September 9, 2011)
Contributor: Tools to Manage Your E-Mail Newsletter (Chris Winn) By: Bill Winterberg (Morningstar Advisor, August 11, 2011)
Contributor: Big Turnkey SMA Platform Snaps up Ex-Rival (Chris Winn) By: Tom Stabile (FUNDfire, August 10, 2011)
“The acquisition cements a strong position in the turnkey outsourcing market for Envestnet, which gains fuller access to several large clients among the 100 firms that had used FundQuest, says Chris Winn, Managing Principal of AdvisorAssist”
Interested in Social Media but Concerned about Compliance Risks? (REPLAY)
Event: Webinar – hosted by Interactive Advisory Software — August 3, 2011
Description: How are you using Facebook, Twitter, LinkedIn, or any other social networking sites to communicate with your clients, or promote your business? How is FINRA’s social media compliance affecting the way you do business?
Join Chris Winn, IAS and Smarsh and learn about:
- The compliance obligations for using social media to market your practice
- Establishing a Social Media policy
- Technology that can help you manage your day-to-day social networking interaction
Contributor: Using Technology to Grow Your Business (Brian Lauzon) By: Registered Rep Magazine(Registered Rep, June 2011)
Compliance Consultant Says New Form ADV Will Do Little To Improve Consumer Disclosure (Chris Winn) By: Andrew Gluck (Advisors4Advisors.com, April 1, 2011)
RIA Custodians: Innovating In ’11 (By: Jerry Gleeson (RegisteredRep Contributor: Chris Winn, February 1, 2011)
Envestnet Adds BlackRock, PIMCO SMAs (By: Tom Stabile (FUNDfire, Contributor: Chris Winn, January 11, 2011)
Alternatives present quandary for custodians (Chris Winn) By: Dan Jamieson (InvestmentNews, January 9, 2011)
Custodians heighten scrutiny of new and veteran advisers By: Dan Jamieson (InvestmentNews, January 2, 2011)
+ 2010
+ 2009
+ 2008
AdvisorAssist Industry Presentations
2011 Compliance Planning for RIAs
Event: Advisors4Advisors Webinar
Date: December 17, 2010
Description: A review of the upcoming changes in 2010, including the new “plain-English” ADV 2, SEC to State Transitions, and 2011 compliance planning.
State Securities Chiefs Speak About RIA Regulatory Overhaul
Event: Advisors4Advisors Webinar
Date: December 3, 2010
Description: Three influential state securities chieftains will update IA reps and address their questions about the regulatory overhaul of RIAs.
Understanding and Conquering Cloud-based Security and Compliance Issues
Event: Financial Markets World FinCLOUD 2010: Cloud Computing in the Financial Services Industry
Date: October 7, 2010
Description: AdvisorAssist Founder & Managing Principal Chris Winn discusses the compliance issues and best practices for investment advisors moving to cloud-based technologies.
Compliance and Records Retention in the Age of Social Media
Event: Financial Markets World Fourth Annual Conference on Social Media Compliance in Financial Services
Date: September 27, 2010
Description: AdvisorAssist Founder & Managing Principal Chris Winn discusses the compliance issues and best practices for Advisors utilizing social media.
Business Continuity Planning for Advisors
Event: Advisors4Advisors.com Webinar
Date: August 8, 2010
Description: AdvisorAssist Founder & Managing Principal Chris Winn participates in discussion that focuses on the SEC and State requirements related to the continuation of operations for RIAs.
Social Media 101: Promote And Protect Your Firm
Event: Arkovi.com Social Media Webinar
Date: August 4, 2010
Description: Chris Winn provides an overview of the compliance requirements for investment advisors that leverage social media.
Compliant Social Media Marketing For Advisors
Event: Advisors4Advisors Webinar
Date: July 9, 2010
Description: Chris Winn provides RIAs and Hybrid Advisors with practical steps for implementing social media in their practice.
Event: Advisors4Advisors Webinar
Date: April 16, 2010
Description: Chris Winn provides RIAs with critical tips to meeting the current regulatory requirements.
Evaluating RIA Business Models
Event: Advisors4Advisors Webinar
Date: January 21, 2010
Description: Insights into the business models, costs, and transition path for establishing an RIA firm.
Event: Advisors4Advisors Webinar
Date: November 19, 2009
Description: The strategy, costs, and compliance considerations on the Road to Independence for new RIA start-ups.
2010 Compliance Planning For RIAs
Event: Advisors4Advisors Webinar
Date: October 30, 2009
Description: Chief Compliance Officer responsibilities demystified and planning out a “Year in Compliance” for 2010.
Compliance Update and Service Provider Trends
Event: National Investment Company Service Association (“NICSA”) Conference
Date: May 20, 2008
Description: Chris Winn moderates a panel discussing the evolution of compliance and oversight programs for investment companies and their service providers.
