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NWAM, LLC, dba Northwest Asset Management and RIA Innovations is an SEC registered investment adviser.

Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the CFP® certification mark, the CERTIFIED FINANCIAL PLANNER™ certification mark, and the CFP® certification mark (with plaque design) logo in the United States, which it authorizes use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements. For additional information please click the following link here.

    Article Of The Month: Cybersecurity is RIAs’ Biggest Compliance Concern



    You receive an email from one of your clients. It looks like they are trying to send you some signed paperwork via Dropbox. You click it. Harmless, right? Many Registered Investment Advisor firms have found out the difficult way that clicking on everything is not always the best thing to do. Phishing spammers are becoming more clever by the day and are continually finding new strategies and techniques to master the art of deception.


    Once a scammer gets into your email via corrupt links, they potentially gain access to any client data in there including account numbers, date of births, and social security numbers. In Plannadvisor’s article published on July 26, 2018 Cybersecurity Is RIAs’ Biggest Compliance Concern details on how cybersecurity has become the top concern in the Registered Investment Advisor industry are outlined. The article goes on to state how a survey found “that nearly 70% use some form of technology in their compliance program”. The combination of compliance, technology, and employee education are key elements of outsmarting cyberhackers.


    For more information on how RIA Innovations can help with cybersecurity, please call us at 855.419.2755 or email info@riainnovations.com.