Beyond the Exit
What does it really take to build an RIA that scales, and ultimately
sells well?
Last week, 3iCO’s Justin Dausch and Tom Kennedy joined Cornerstone’s Carmela Ravi and Kathmere Capital’s Kevin McDermott for Beyond the Exit: Strategies for RIAs to Build Strength, Scale & Succession, a thoughtful, practical masterclass on how firm value is truly built.
From succession planning to operational due diligence and proactive compliance, the discussion reinforced a simple truth:
the strongest exits are the result of long-term, intentional decisions...not last-minute fixes.
The carousel highlights key takeaways for RIA leaders focused on building durable, credible firms...whether an exit is years away or not
even on the radar.
Compliance Unplugged
On December 4, 2025, 3iCO hosted Compliance Unplugged, a LinkedIn Live event featuring CEO Laura Flanagan, RegAlytics CEO Mary Kopczynski, and guest attorney Mark Shaffer of Royer Cooper Cohen Braunfeld LLC. Together, they cut through noise and jargon to break down what’s actually happening at the SEC...practically, humanly, and usefully. No theater.
Just insight.
The conversation explored how the compliance landscape is shifting in real time: changing enforcement priorities, the ongoing importance of accurate disclosure, and emerging risks around AI, crypto, and off-channel communications.
They also shared what firms are seeing in exams today: signals that regulators may be looking more closely, why AML and KYC still matter even amid paused rulemaking, and one theme worth underscoring—progress often matters more than perfection.
Explore our infographics here for practical, actionable takeaways you can put to work immediately.
Managing Insider Trading Risks
October 10, 2025
This article was originally published for the National Society of Compliance Professionals on August 14, 2025
Insider trading is the practice of trading securities by persons in possession of material, non-public information(“MNPI”) about such securities. Material information has been described by the U.S. Securities and ExchangeCommission (“SEC”) as information that a reasonable investor would consider important in making his or her investment decisions, or information that is reasonably certain to have a substantial effect on the price of a company’s securities.