In this episode of The Investor Relations Podcast, host Joshua Bruce Wilson asks Brian Adams what kind of licenses — if any — a Chief Investment Officer needs to operate within a family office.

Brian explains that many family offices operate under the family office exemption, meaning they are not required to register as an RIA or broker-dealer. As a result, CIOs in these settings often do not carry securities licenses. Instead, families typically look for professionals with a tax or legal background — such as a CPA, JD, or LLM — especially when the role ties back to managing taxable wealth at the individual or family level.

For senior-level roles, Brian emphasizes the growing importance of relationship capital. Families increasingly value CIOs with deep networks and access to exclusive private co-investment opportunities, sometimes even more than traditional licensure or credentials.

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Disclaimer: Joshua Wilson is a licensed Florida real estate broker and holds FINRA Series 79 and Series 63 licensure. The content of this podcast is for informational and educational purposes only and should not be considered legal, financial, or compliance advice. All views and opinions expressed by the host and guests are their own and do not necessarily reflect the policies or positions of any regulatory agency, organization, or employer. Listeners should consult their own legal counsel, compliance teams, or financial advisors to ensure adherence to applicable regulations, including SEC, FINRA, and other industry-specific requirements. This podcast does not constitute a solicitation or recommendation for any financial products or services.

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