Walkner Condon Financial Advisors

APRIL 21, 2023

The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client. We may recommend specific investment strategies, and the custodian will execute the trades and ensure compliance with regulatory requirements.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Harness Wealth

MAY 18, 2023

However, in the past three decades, the confluence of tech innovation, and the democratization of financial product distribution and private capital have led to a boom in the independent registered investment advisor (RIA) channel. What do entrepreneurial advisors need? It is provided for information purposes only.

Taxes 52

Taxes Wealth Advisor Marketing Marketing 52

Sara Grillo

JANUARY 9, 2023

What are the changes in Colorado investment advisor regulations regarding financial planning? Regulators, not just in Colorado but across the country, are seeking ways that there could be greater clarity in the disclosure and communication in the fees that flat fee advisors charge and what they provide. Let’s get into it, folks!

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Brown Advisory

NOVEMBER 12, 2015

As always, we recommend that you consult your tax and investment advisors to determine what, if any, actions you should take before the end of the year to minimize your tax burden this year and in the future. Circular 230 Compliance Statement. In compliance with those regulations, we must inform you that: 1. Conclusion.

Planning 52

Planning Taxes Distribution Medical 52

Inside Information

OCTOBER 30, 2021

In Rostad’s view, this is the very disclosure document that could be eliminating investor confusion about the different business models and agendas. “If After his admission that disclosure has been cruelly misused in the past, Rostad explains why the Institute’s new proposal is different.

CFP 40

CFP Commission Investing Investments 40

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 162

Compliance Clients Wealth Management Management 162

Tucker Advisors

AUGUST 9, 2021

What does the IRA rollover exemption mean for advisors? But, if doing so would earn you money, you will likely need additional disclosures, documentation, policies and procedures, and annual review requirements. Domingos – This doesn’t mean that you can no longer roll over an IRA. Who is going to determine what this best interest is?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

The Big Picture

JULY 29, 2024

So 00:09:10 [Speaker Changed] I know Orion for many years because from the RIA perspective, from a registered investment advisor perspective, clients want to know how their portfolios are doing, what their performance is, both in absolute terms and relative to benchmarks. That’s right. So tell us a little bit about that.

Clients 147

Clients Portfolio Financial Advisor Investing 147

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. Salaske: What is an investment advisor?

CFP 59

CFP Financial Advisor Financial Planner Ethics 59