Cost Effective Compliance for Growing RIAs – Smarsh – 4.28.26

Smarsh Webcast - Upcoming - Cost Effective Compliance for Growing RIAs

Overview:
Title: Cost Effective Compliance for Growing RIAs
Date: Tuesday, April 28, 2026
Time: 2:00 PM Eastern Daylight Time
Duration: 1 hour

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Summary:

As RIAs grow, compliance expectations rise while teams and budgets often remain the same. Increasing scrutiny on communication oversight and supervisory controls puts added pressure on compliance programs that cannot scale with headcount alone.

Advisor communication channels and workflows continue to expand, and firms must maintain stronger oversight, produce clearer evidence, and manage risk with greater efficiency. Growth creates opportunity, but it also demands smarter, more scalable compliance solutions.

Join us to learn how RIAs can strengthen supervision, reduce risk, and improve efficiency with technology that delivers institutional quality oversight without unnecessary complexity. You will leave with clear guidance on how to streamline workflows and invest in compliance tools that grow with your firm.

We will cover:

  • How to scale communication supervision without adding compliance staff
  • Ways to strengthen supervision controls while improving efficiency
  • What institutional quality oversight looks like for growing RIAs
  • How to demonstrate ROI through reduced risk and simplified operations
  • How to choose compliance technology that evolves with your firm

Accepted for 1 CFP / IWI / CFA CE Credit

Speakers:
Robert Cruz Robert Cruz VP, Information Governance Solutions Smarsh

Robert Cruz is the Vice President of Information Governance at Smarsh. He has more than 20 years of experience in providing thought leadership on emerging topics including risk management, regulatory compliance, and eDiscovery cost and information governance. He holds an MBA from the Stanford University Graduate School of Business.
Gil Aikins Gil Aikins Managing Principal Global Securities Consulting Group

Gil Aikins is Managing Principal of Global Securities Consulting Group (GSCG), where he advises financial firms on compliance, operations, and executive strategy. He began his career at CSFB and UBS and later founded Bethel Landing Securities, a FINRA-member broker-dealer focused on private placements in the alternatives space, where he serves as CEO and CCO. Gil has served on FINRA’s New York Regional Committee and is an active adjudicatory panelist. He holds several FINRA licenses and earned degrees from William & Mary and Tulane University.