Regulatory & Compliance
ERA vs. RIA: What Adviser Registration Actually Protects You From
On August 27, 2026, the SEC charged 38 entities with filing false Form ADVs that claimed Exempt Reporting Adviser (ERA) status, using that label to look legitimate to retail investors. Almost none of
Jeff Barnes, MBA··10 min read
Regulatory & Compliance
Form C-AR Explained: The Annual Report Reg CF Investors Should Demand
TL;DR: Form C-AR is the annual report Regulation Crowdfunding issuers owe you after you wire money into their raise, and most of them never file it. Kingscrowd's June 2, 2026 analysis found that...
Jeff Barnes, MBA··11 min read