2021 RIA Compliance Connection Resources

This page will contain the recording and presentation slides from RIA Compliance Consultants’ 2021 RIA Compliance Connection Conference, starting on August 25.

If you need assistance at any time during the conference please email help@ria-compliance-consultants.com

  • Strategic Alliance Members
      • Bridge Financial Technology – Automation-focused software designed to streamline back office functions
      • Lockton Affinity, LLC – Insurance Solutions for member based organizations
      • Unitifi – Unitifi has developed online software tools to help everyone in the Financial Industry to increase revenue and decrease compliance issues related to knowledge of client.  Uniting the Financial Industry is the Goal of Unitifi by Defining Financial Behavior, and relating this to the Financial Professionals and Firms that cater to the client relationships.
      • WiserAdvisor – WiserAdvisor has over 20 years’ experience in connecting motivated investors to financial advisors nationwide. Their qualified leads enable advisors to spend their valuable time focusing on serving the investors rather than spending their time identifying qualified prospects.


  • 2021 RIA Compliance Connection Agenda
  • Day 1 - August 25, 2021 Peer-to-Peer Discussion Slides
  • Day 2 - August 26, 2021 Presentation Slides
  • Code of Conduct
    • RIA Compliance Consultants is committed to providing a welcoming, harassment-free 2021 RIA Compliance Connection for everyone, regardless of gender, sexual orientation, disability, physical appearance, age, race, ethnicity, or religious beliefs.

      By participating in the 2021 RIA Compliance Connection Conference, all attendees, speakers, sponsors, Strategic Alliance Members, and Strategic Providers, and staff must abide by the following Code of Conduct. This Code of Conduct applies to all 2021 RIA Compliance Connection, sessions, social events, and online activity, and outlines our expectations for participant behavior, as well as the consequences for unacceptable behavior.

      1. Respect others.

      Demeaning, discriminatory, intimidating, harassing or abusive or harassing behavior and speech will not be tolerated. Harassment may include but is not limited to: offensive verbal, written or electronic comments related to gender, sexual orientation, race, religion, disability; nudity and/or sexual images in public spaces (including presentation slides); deliberate intimidation, stalking, or following; harassing, photography, or recording; sustained disruption of sessions, talks, or other events; inappropriate physical contact, and sexual attention.

      2. Be Truthful, Forthright and Authentic

      Attendees are required to register with their true name and identity, without mimicking the likeness of anyone other than themselves. Login information must not be shared or used for attendees other than the original registrant.

      Any attendee, RCC employee, speaker, sponsor, Strategic Alliance Member or Strategic Provider who does not abide by this Code of Conduct may be asked to leave the conference at the discretion of the event organizers. In the case that an attendee is expelled, refunds will not be granted.

      How to report a violation.

      If you become aware of this Code of Conduct being violated in any way, or have other concerns, please contact a RIA Compliance Consultants employee or email bizdevteam@ria-compliance-consultants.com. Please, report anyone who has violated this Code of Conduct. If you have been made uncomfortable someone else has been made uncomfortable.