Quiz - My RIA Lawyer

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Question 1 of 4

What is your firm's AUM?

Under $100M

$100M–$350M

$350M–$1B

$1B–$5B

Over $5B

How many advisors are at your firm?

1–2 advisors

3–5 advisors

6–10 advisors

11–20 advisors

20+ advisors

What best describes your compliance needs?

Occasional guidance

Backup support for in-house team

Full team (without CCO designation)

Complete takeover (including CCO)

What's your biggest compliance challenge?

Not enough time

Lack of expertise

Scaling as we grow

Regulatory issues