── ── Industry
RIA — ADV / Form CRS Compliance Checklist
The parent checklist converts "are we covered?" into a verifiable gate. RIA regulation is a set of recurring, penalty-backed gates (ADV update, CRS delivery, Marketing Rule, Custody, Books & Records). This maps those obligations onto the parent's gate discipline.
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How it works
The parent checklist converts "are we covered?" into a verifiable gate. RIA regulation is a set of recurring, penalty-backed gates (ADV update, CRS delivery, Marketing Rule, Custody, Books & Records). This maps those obligations onto the parent's gate discipline.
When to use it
- annual ADV amendment season
- onboarding/updating Form CRS delivery
- launching marketing/testimonials
- a mock/real exam
- 'are we books-and-records compliant?', 'can we post this ad/testimonial?'
When not to use it
the question is portfolio construction, not compliance.
Worked example
RIA — ADV / Form CRS Compliance Checklist
The parent checklist converts "are we covered?" into a verifiable gate. RIA regulation is a set of recurring, penalty-backed gates (ADV update, CRS delivery, Marketing Rule, Custody, Books & Records). This maps those obligations onto the parent's gate discipline.
Install this skill (free, MIT)
npx skills add deciqAI/knowledge-skillsUseful? Star the repo — stars help other builders find it.
Related mental models
The parent loss-aversion-prospect-theory shows losses loom ~2× gains and that framing drives choices.
The parent margin-of-safety builds a buffer so estimation error doesn't cause ruin.
The parent principal-agent analyzes misaligned incentives between an agent and the principal they serve.
The parent expected-value-and-kelly sizes repeated positive-edge bets to maximize long-run growth without ruin.