Webinar

Expert Panel: Choosing the Right RIA Compliance Partner in 2025

Join us for a 30-minute expert panel on how RIAs can choose the right compliance partner - what matters, what doesn’t, and how to get it right.

Reserve Your Spot

Date: Wednesday, August 20th 2025
Time: 10:00 AM PT / 1:00 PM ET,
Location: Zoom

Save My Spot

Your Firm's Growth Depends on Your Compliance Partner.

Are You Making the Right Choice?

Navigating the compliance landscape is more challenging than ever for small and mid-sized RIAs. The wrong partner can lead to wasted resources, regulatory risk, and stalled growth. This session provides a practical framework to cut through the noise and make a smart, future-ready decision that protects and scales your firm.

An Unfiltered Discussion with a
Regulatory Strategist and a Tech Innovator

The Regulatory Strategist

Mimi LeGaye

President & Co-Founder, MGL Consulting

Mimi brings decades of deep expertise guiding firms through SEC, FINRA, and state enforcement actions. As a key liaison to regulators, she offers an insider's view on what it takes to build a truly resilient compliance infrastructure.

The Tech Innovator

Sid Yenamandra

Founder & CEO, Surge Ventures

Sid is a leading voice in compliance tech and AI, and the founder of cybersecurity platform Entreda (acquired by Smarsh). He blends deep technical knowledge with a track record of scaling software that solves real-world compliance challenges for RIAs.

This is Not a Sales Pitch. It’s a Strategic Briefing.

In this session, our experts will answer the key questions RIAs are asking today:

What are the critical red flags you should look for in a compliance vendor before you sign a contract?

How do tech platforms truly compare to full-service consultants, and which is right for your firm's stage of growth?

What really drives ROI when evaluating compliance solutions—beyond the advertised feature list?

What does "exam readiness" actually mean, and what should a true partner provide to prepare you for scrutiny?

What integrations and workflow capabilities should your firm demand from a tech partner in 2025?

Plus, a live audience Q&A to get your specific questions answered.

This Webinar is for You If:

You are an RIA principal or CCO at a small or mid-sized firm.

You are reassessing your current compliance tech stack or consulting relationship.

You are scaling your firm and need a compliance solution that can grow with you.

You are preparing for a potential regulatory exam and want to ensure you're ready.

Choose Your Next Partner Wisely

Join us on -
Date: Wednesday, August 20th 2025
Time: 10:00 AM PT / 1:00 PM ET,
Location: Zoom