Wednesday, September 9, 2015

2015 - Texas State Securities Board - Reduces Fees

The Texas State Securities Board last week voted to decrease registration fees for securities dealers, investment advisers and their agents and representatives, effective Sept. 1.  

Monday, August 17, 2015

2015 - Assistant - Frednesha Bryant

Spotlight:  Frednesha Bryant

Frednesha will be assisting Cory with smaller projects.  

Frednesha comes to us with creative and graphic design experience. 

Frednesha was born and raised in Richmond, California. 

In 2013 she graduated from San Francisco State University with a Bachelor of Science Degree in Business Administration and Information Systems. 

She enjoys working with various organizations in efforts to empower communities of color, especially youth.  Frednesha also works as a Benefit Organizer with the Social Security Administration.

We are pleased to have Frednesha contribute to Cory's business and social impact efforts.  

Monday, May 18, 2015

2015 - RIA Mergers, Acquisitions Fueling Growth


Mergers and acquisitions continued to fuel growth in the independent registered investment advisor market last year, according to 2014 year-end data from Schwab Advisor Services.

The activity makes the independent investment advisory model one of the fastest-growing financial services segments and points to a healthy, sustainable industry, says Jonathan Beatty, senior vice president of sales and relationship management at Schwab Advisor Services.

There were 54 completed RIA merger and acquisition transactions in 2014, matching the total deals completed in 2013. Average deal size ticked upward by 9% from the previous year, with total assets under management going from $43.6 billion to $47.4 billion.

See full article here:

Monday, May 4, 2015

2015 - Our RIA-In-View Newsletter - 2nd Quarter

2015 - Our Newest Affiliate Site -

Dear Advisors,

We are pleased to announce the release of our newest affiliate site:*.  An RIA is a business with other functions, such as operations, technology, and trading.  As such, we've put together a collection of products and services for advisors to manage the additional areas in their practices.  Visit here:

All products are either used by Roberson Consults Group and/or its clients.   

Our current site includes:

·         Microsoft (software)
·         Global Relay (Compliance/Archiving)
·         Citrix (Cloud-based solutions)
·         Cal-Insurance (Advisor E & O Insurance)
·         Staples (office supplies)
·         TD Ameritrade (trading/custodian)
·         Website Development (third-party providers)
Our site contains affiliate links for which we may be compensated. 

Stay tuned as we add more companies.

Impact: A portion of profits will go towards our work with Build Ur Impact. 

Sunday, May 3, 2015

2015 - Cyber-Security - Action Item Checklist

Small Firm Cyber-Security Checklist
(Source: Security Industry and Financial Markets Association (SIFMA)

Below are some notes that you can use in updating your firm's cyber-security program. These protocols can be tested at the time of reviewing your firm's Business Continuity program and/or anytime.  

Tuesday, April 21, 2015

2015 - Annual Offer Letter/Notification Due*

SEC rule 204-3(b) and similar state rules

As mentioned in our last newsletter, 
please note the following deliverable:  

Annual Offer Letter/Notification (to clients) - 04/30/2015 - 120 days after firms fiscal year-end*
  • Summary of material changes + privacy policy + offer of ADV brochure, or
  • Latest ADV brochure + privacy policy 

Notification can be sent via*:
  • Client invoicing/statements 
  • Letter
  • Electronic delivery
  • Website
  • Email 
  • Mail + Letter

Suggestion:  Keep a record of date that notification was sent out. 

Please discard this message if:
  • (1) The firm already sent an offer/notification to clients.

Next quarterly newsletter - coming in May 

Thursday, March 5, 2015

2015 - ADV Amendments/Financial Statements Due*

Please note the following deadlines (calendar based fiscal year end firms*):  

ADV Amendment due - 03/31/2015 - 90 days after firms fiscal year-end*
  • State-registered firms - determine if your firm must also file financial statements**
  • SEC-registered firms -  filing fees are also due at the time of annual amendment (no financial statements due)

Financial Statements due - 03/31/2015 - 90 days after firms fiscal year end**
  • California (state registrants only) requires financial statements for discretionary managers and/or advisors with custody. 
  • New York (state registrants only) requires financial statements for state registered advisors.
  • Florida (state registrants only) requires financial statements (audited) for advisors with custody and/or (unaudited) for advisors with no custody or discretion - mail directly to office
  • Alabama (state registrants only) requires financial statements (audited) - within 60 days for firm's fiscal year end 
**Net capital financial requirements are for firms home states only (location of main office).  

Contact me for information on other states. 

Advisors adding clients in new states:
  • Please add fees directly to web CRD/IARD daily account and let me know so that we can complete the annual filing process at the same time. 
Thank you,

2015 - Advisor Website Services (New)

For 2015, we are now offering website services. 


Tier 1 – Premium: $2299
·         Custom Design
·         Pages (up to 25 pages) 
·         Compliance/Advertising Review
.         Blog
$299 discount w/ other compliance services

Tier 2 – Intermediate: $1699
.         Custom Design
·         Pages (up to 15 pages) 
·         Compliance/Advertising Review
.         Blog
$199 discount w/ other compliance services

Tier 3- Basic Compliance: $1099
·         Custom Design
·         Pages (up to 7 pages) 
·         Compliance/Advertising Review
$ 99 discount w/ other compliance service

Maintenance Fees:  first six months included! 
$250 / every six months, or  $500 / annually
Additional Page(s):
·     $100/pg.

Other SEO services:
·         Blog Content, SEO, or social media assistance available through one of our partners.

2015 - Our Website Consultant - Eduardo de la Torre

Meet our website consultant - Eduardo de la Torre 

Eduardo has 5 years of website development/management experience. In 2009, he began his career as a Web Developer in GDL Systems, a recognized web development company in Guadalajara, Mexico. Soon afterwards, he was promoted to a Project Manager due to his ability to manage complex tasks and to learn new system processes. In June 2014, Eduardo began his work as a freelance Web Developer/Consultant in the Bay Area.  He speaks Spanish and English. In his spare time, he likes to go running, hiking, mountain biking, out with friends, and travelling to new places.

Eduardo will be helping us on a part-time basis to service the need of our clients seeking website support. 

Wednesday, February 4, 2015

2015 - Update for Roberson Consults Group


As we embark on our 4th year in business, I wanted to say “Thank You” for working with us. We are updating our processes to better assist you.  We’ve realized that the advisory business is not just compliance, but the sum of many parts.  We have a few changes noted below.

New services:
We offer limited website services (see page 3)

New website consultant:
Eduardo De La Torre will be one of our consultants for website development/blog services. (see bio on page 3)

New blog site:

We will post updates in between the delivery of our quarterly newsletter to stay in touch with you.

New compliance issues:
We will take a closer look at financial planning requirements for CFP-holders

We’d like to wish you a prosperous year ahead

Cory Roberson

About Founder (Cory Roberson):  Cory is the principal, of Roberson Consults Group, an RIA consulting firm that provides Compliance, Operations, and Business Development services for investment advisors.  He is also the founder of Build Ur Impact, a social enterprise, that works with non-profit organizations to teach youth skills in entrepreneurship.  He also conducts workshops and is authoring an upcoming youth-friendly series: “Don’t Play Around, Write it Down.”
For more check out our website at: