About FPCompliance.com

FPCompliance is utilized as a means of distribution of select materials to policy makers, Registered Investment Advisers, and financial planners. In addition, select materials are provided to attendees of recent seminars at which Ron was a speaker and select resources are posted for further guidance on SEC compliance and fiduciary duties.

This website is published and maintained by Ron A. Rhoades, J.D., CFP®, a frequent writer on SEC compliance and fiduciary issues. Ron graduated with a Juris Doctor degree, with honors, from the University of Florida College of Law in 1985. From 2001 to the present, Ron has served as Director of Research and Chief Compliance Officer for Joseph Capital Management, LLC, a fee-only registered investment advisory firm serving individuals and families, trustees of irrevocable trusts, retirement plan service providers, and for-profit and not-for-profit institutions.

In over 22 years of professional practice as an estate planning and tax attorney, and then as a private wealth manager, Ron has seen the complexity of the issues surrounding SEC regulatory compliance and the adherance to fiduciary duties by industry professionals. Ron became involved with investment adviser industry issues in 2004 during the rule-making process dealing with fee-based brokerage accounts. Since then, he has become committed to the application of the fiduciary standard of conduct, as well as to the continual interpretation and application of SEC regulatory compliance rules and proceedings, to all those who provide financial planning and investment advisory services.

Ron has served on various committees and has participated in numerous conferences since 2001. Ron was a panelist at the North Americna Securities Administrators Association's (NASAA's) 90th Annual Conference in the Fall of 2007, during which he addressed fiduciary issues and the important role of state securities administrators play in applying and enforcing fiduciary standards of conduct. He was the keynote speaker at the NASAA Investment Adviser Examiner Training conference in August 2008. Ron also represented the National Association of Personal Financial Advisors (NAPFA) at the InvestmentNews Regulatory Roundtable at the National Press Club in Washington, D.C., in February 2008. Ron has also undertaken presentations to federal and state regulators in recent years on issues relating to the fiduciary duties of investment advisers and financial advisors.

In addition to his various speaking engagements, Ron is a member of the Financial Planning Association (FPA), and served as Reporter for its Fiduciary Task Force (2007-8), as Reporter for its Professional Standards Task Force (2008), and as a member of its Government Relations Committee (2007-8). He is also a member of NAPFA and currently serves on its Board of Directors, with previous service on its Industry Issues Committee and Educational Advisory Task Force.

Ron is also a noted author and has been frequently quoted in publications, including Fortune, Newsweek, Financial Planning, Investment Adviser, On Wall Street, Investment News, and Compliance Reporter. He is the author of Estate Planning for the Florida Resident: Questions and Answers and the co-author of The Science of Investing: How to Apply Academic Research to Reduce Risks and Increase Investment Returns. He has also published numerous white papers and articles relating to investment management and portfolio construction.