Client Acquisition
Marketing
Client Retention
Firm Management
Professional Development
SmartReads
SmartAsset AMP
About
Press
Terms of Service
Privacy Policy
Back to SmartAsset Home

Client Acquisition
Prospecting
Referrals
Strategies & Tools
Marketing
Marketing Strategies
Digital Marketing
Traditional Marketing
Client Retention
Engagement
High-Net-Worth Clients
Ideas & Tips
Firm Management
Starting Out
Running a Firm
Best Practices
Professional Development
Exam Prep
Education
More Resources
SmartReads
SmartAsset AMP
About
Press
Terms of Service
Privacy Policy
Back to SmartAsset Home

SmartAsset Home Grow Your AUM

Search

SmartReads/Advisor Resources/Compliance & Legal

Compliance & Legal

1 2 3...7

Share

More from SmartAsset

Compare Financial Advisor Matches Today
How to Find and Choose a Financial Advisor
The Top Financial Advisors in the U.S.
How Much Do I Need to Save for Retirement?
Mortgage Calculator
Compare Mortgage Rates

Subscribe to our Newsletter

Join 200,000+ other subscribers

Categories

Advisor Resources
Auto
Career
Checking Account
Credit Cards
Credit Score
Data Studies
Debt
Estate Planning
Financial Advisor
Insights
Insurance
Investing
Life Insurance
Mortgage
Personal Finance
Personal Loans
Refinance
Retirement
Small Business
Student Loans
Taxes

Get in touch

SmartAsset

Advisor Testimonials

SmartAdvisorMatch

Get Social

Like on Facebook

Follow on LinkedIn

Legal Stuff

Terms of Service

Online Tracking Opt-Out Guide

SmartAsset Advisors, LLC ("SmartAsset"), a wholly owned subsidiary of Financial Insight Technology, is registered with the U.S. Securities and Exchange Commission as an investment adviser. SmartAsset's services are limited to referring users to third party advisers registered or chartered as fiduciaries ("Adviser(s)") with a regulatory body in the United States that have elected to participate in our matching platform based on information gathered from users through our online questionnaire. SmartAsset receives compensation from Advisers for our services. SmartAsset does not review the ongoing performance of any Adviser, participate in the management of any user's account by an Adviser or provide advice regarding specific investments.

We do not manage client funds or hold custody of assets, we help users connect with relevant financial advisors.

This is not an offer to buy or sell any security or interest. All investing involves risk, including loss of principal. Working with an adviser may come with potential downsides, such as payment of fees (which will reduce returns). Past performance is not a guarantee of future results. There are no guarantees that working with an adviser will yield positive returns. The existence of a fiduciary duty does not prevent the rise of potential conflicts of interest.

© 2025 SmartAsset, all rights reserved.

Latest Articles

Transition Checklist for Financial AdvisorsMarch 7, 2025
FINRA Form U4: What It Is and What to AvoidMarch 7, 2025
How to Register an RIA Firm in FloridaMarch 7, 2025
RIA Registration Requirements Every Financial Advisor Should...March 7, 2025
How Financial Advisors Can Navigate Regulatory RiskMarch 7, 2025
Form ADV Part 2: Why It’s Important and What It IncludesMarch 7, 2025
Guide to Form ADV Part 1: Tips for AdvisorsMarch 7, 2025
What Is RegTech and How Can It Help Your Firm?March 7, 2025
Financial Advisor Social Media Compliance ChecklistMarch 7, 2025
What Financial Advisors Need to Know About Email ArchivingMarch 7, 2025
Compliance and Risk Trends for Financial Advisors in 2025March 7, 2025
What Are the Know Your Client Rules for Financial Advisors?March 7, 2025