The checklist is a 30-question diagnostic organized around the five areas where finance functions most often surface gaps under diligence.

Beyond AUM: The Financial KPIs Growing RIAs Should Actually Track Every RIA report deck leads with AUM. Total AUM, AUM growth, net new assets, organic versus market-driven. It's the default KPI of the industry and the one most advisers think about when they think about how their firm is doing.

Getting Your RIA's Books Ready for an SEC Exam: A Finance Function Readiness Guide