Intelligence for Independent RIAs
Your wirehouse competitors have research desks monitoring regulatory developments full time.
Now you do too — in five minutes every Tuesday morning.
Your wirehouse competitors have research desks monitoring regulatory developments full time.
Now you do too — in five minutes every Tuesday morning.
Each issue is built from a fresh sweep of 62 verified sources — synthesized, filtered, and structured so you can act on it before your next client call.
The week's most consequential regulatory or market development — with the context and implications your practice actually needs.
Three specific, sequenced action items. Not analysis — instructions. Compliance deadlines, filing reminders, and practice changes you can execute today.
Technology, AI governance, benchmarking data, and practice management insight from the top-performing independent firms.
One number from this week's regulatory, economic, or practice data — with the context that makes it meaningful to your firm.
One resource worth reading this week — with a two-sentence brief so you know exactly what you're walking into.
Six additional developments from the full source sweep that didn't make the lead sections — but belong on your radar before next week.
Every issue is compiled from a fresh weekly sweep of the full regulatory and market landscape — so you don't have to monitor any of it yourself.
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Issue 001 covers the Reg S-P incident response plan deadline — 35 days away for most independent advisers — plus the SEC's 2026 examination priorities, a NASAA advertising rule change that took effect May 4, the Fed's most fractured rate decision since 1992, and six additional items from this week's full source sweep.
No signup required. Read it and decide.
Read Issue 001 Free →SEC-registered firms managing $50M–$1B in assets without a dedicated compliance research team. You are your own research desk. Now you have one.
Recently independent from a wirehouse or broker-dealer. You've left the infrastructure behind — including the compliance intelligence. Basis Points Brief fills that gap from day one.
CCOs at small-to-mid-size RIAs who need a fast, reliable weekly scan of the regulatory landscape without spending hours on primary sources. Your Tuesday morning brief.
Every basis point counts. So does every word.