Nerd's Eye View

JUNE 5, 2024

If they want to continue to grow and increase their capacity, they'll need to make several important decisions and address a plethora of legal and compliance requirements not only to avoid potential legal issues but also to ensure that their business will continue to operate smoothly.

Compliance 189

Compliance Clients Consulting Taxes 189

Nerd's Eye View

MARCH 14, 2025

Which, if implemented under the new administration, could provide relief for investment advisers, particularly smaller firms that already have to balance compliance with client service, marketing, and the other duties that go into running a firm.

Financial Planner 163

Financial Planner Compliance Commission Retirement 163

Wealth Management

JUNE 25, 2024

Gwen Weithaus will join as chief compliance officer for one of Cetera’s network of four independent firms and will report to Cetera Chief Risk Officer Joseph Neary.

Compliance 263

Compliance Investing Investments 263

Nerd's Eye View

JANUARY 31, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that following the change of administration (and a new incoming chair of the SEC), the Investment Adviser Association is seeking to find ways to help RIAs (particularly smaller firms) manage the compliance responsibilities they (..)

Financial Planner 245

Financial Planner Retirement Planning Compliance Taxes 245

Wealth Management

APRIL 1, 2025

citizens need to know about taxes, investing and compliance when living abroad. In this WMTV on Location video, Robert Levitt breaks down what U.S.

Compliance 261

Compliance Taxes Investing Investments 261

Wealth Management

MARCH 7, 2025

According to SEC staff at the Investment Adviser Associations compliance conference, the two planned FAQs would help clarify when advisors must use net and gross performance to describe investments.

Compliance 289

Compliance Planning Investing Investments 289

Wealth Management

APRIL 17, 2024

Verdence/RIA+ will continue to offer outsourced investment management, with added services around succession, compliance and more.

Compliance 276

Compliance Management Investing Investments 276

Nerd's Eye View

MAY 1, 2024

The rule, colloquially referred to as the "Internet Adviser Exemption ", applied to "entities that exclusively provide investment advice through an interactive website ", save for a de minimis exemption of fewer than 15 clients served outside of the interactive website within the preceding 12 months.

Investing 246

Investing Investments Compliance Clients 246

Abnormal Returns

JANUARY 14, 2025

finance.yahoo.com) Finance Fidelity Investments is entering into the stock transfer agent market. axios.com) Firms are still getting fined for text compliance issues. (safalniveshak.com) Companies Corporate spinoffs are getting bigger and more complex. axios.com) Databricks is raising venture debt.

Compliance 182

Compliance Communication Media Economy 182

Carson Wealth

FEBRUARY 4, 2025

Understanding Tax Compliance and Risk Management Ultra-high-net-worth individuals face unique tax challenges, including high rates and ever-changing complex tax codes. Also, like most UHNW individuals, you may have income from several sources like investments, real estate, and business interests that may require special tax planning.

Risk Management 52

Risk Management Compliance Taxes Management 52

Nerd's Eye View

NOVEMBER 22, 2023

In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, discusses in depth the various stages of buying, selling, and merging an investment advisory and financial planning business.

Compliance 246

Compliance Sales Financial Advisor Financial Planning 246

Abnormal Returns

OCTOBER 7, 2024

(citywire.com) Advisortech AI is coming for the compliance stack. kitces.com) A profile of Dave Duffield, the founder of Ridgeline, 'a cloud-based platform for the investment-management industry that aims to bring everything from trading to accounting to compliance under one umbrella.'

Compliance 289

Compliance Wealth Management Financial Advice Government 289

Abnormal Returns

OCTOBER 16, 2023

wiredplanning.com) Daniel Crosby talks with Matt Reiner partner at Capital Investment Advisors about the future of financial advice. riabiz.com) Compliance Compliance is one of the biggest concerns of advisers. thinkadvisor.com) AI tools are coming for the compliance function.

Compliance 262

Compliance Financial Planner Financial Advice Investment Advisor 262

The Big Picture

MAY 20, 2023

As president, she is responsible for corporate sustainability and responsible investing; Man Solutions and Man FRM; central trading, funds treasury and bank relationships; operations; financial crime; corporate real estate; and communications. Before joining the firm in 2010 as Chief Compliance Officer for Man GLG, Robyn held Sr.

Compliance 312

Compliance Communication Government Banking 312

Nerd's Eye View

FEBRUARY 1, 2023

Which, in fact, often meets the definition of an ‘endorsement’, subjecting many third-party relationships to the Marketing Rule’s compliance regulations. Additionally, investment advisers should ensure they disclose the promoter relationship in their Form ADV Part 1 and Form ADV Part 2A.

Advertising 242

Advertising Compliance Marketing Marketing 242

BlueMind

JULY 15, 2022

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Nerd's Eye View

JUNE 17, 2024

Nonetheless, fewer than 10% of SEC-registered investment advisers report using them, even though the SEC’s updated investment adviser marketing rule allows financial advisors to proactively encourage testimonials (from clients), use endorsements (from non-clients), and highlight their own ratings on various third-party review sites.

Financial Advising 246

Financial Advising Compliance Advertising Marketing 246

XY Planning Network

OCTOBER 30, 2023

With the overwhelming amount of rulemaking taking place at the SEC, the operational impact of maintaining compliance, when taking into account the totality of the rules recently finalized and currently being proposed, is sure to be significant for most investment advisers going forward.

Compliance 98

Compliance Investing Investments Accounting 98

The Big Picture

APRIL 22, 2023

 This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters.

Compliance 299

Compliance Wealth Management Consulting Management 299

Advisor Perspectives

SEPTEMBER 10, 2024

How do you convey your value and convince qualified prospects that hiring you will be a worthwhile investment without breaching your compliance obligations as an advisor?

Compliance 98

Compliance Marketing Marketing Investing 98

The Big Picture

APRIL 15, 2023

Baratta, who joined the firm in 1998, is also a member of the board of directors and serves on multiple management committees, as well as the firm’s investment committees. We also discuss how Private Equity has developed over the past three decades from a small $50 billion alternative to a massive multi-trillion dollar investment sector.

Consulting 284

Consulting Compliance Assets Management 284

Nerd's Eye View

NOVEMBER 2, 2022

In the United States, Registered Investment Advisers (RIAs) are required to register in one of 2 ways: with the Federal government (namely the SEC) or with one (or more) state securities regulatory agencies.

Compliance 130

Compliance Investing Investments Government 130

Midstream Marketing

OCTOBER 30, 2024

Introduction In today’s changing finance world, registered investment advisors (RIAs) must comply with the provisions of the marketing rule, including entering into a written agreement, and must not include any untrue statement of a material fact to stand out from others. Clients looking for investment advice have many options.

Investment Advisor 52

Investment Advisor Investing Investments Ethics 52

The Big Picture

DECEMBER 5, 2024

He was always very generous with me, allowing many of his unique works to be republished on this blog (despite the usual concerns from compliance). Invest as If It Won’t. His insights were unique, and I always received them with gratitude. My buddy Mark Lehman had been at UBS in Switzerland for nearly his entire career.

Compliance 290

Compliance Marketing Marketing Management 290

Abnormal Returns

FEBRUARY 5, 2024

(craincurrency.com) The biz Joe Duran's Rise Partners has full coffers to go out and invest in medium-sized RIAs. kitces.com) In an ideal world compliance is a conversation not a prescription. citywire.com) Why RIAs need to build their own talent pipelines. investmentnews.com) The advantages and disadvantages of a T-CRUT strategy.

Compliance 262

Compliance Taxes Management Investments 262

Nerd's Eye View

NOVEMBER 6, 2023

This month's edition kicks off with the news that Practice Intel has launched a new "growth platform" centered around quantifying the quality of an advisor's client relationships with an all-in "Relationship Quality Index" (RQI) – which while potentially valuable in helping advisors understand and improve their client experience (and subsequently (..)

Compliance 246

Compliance Valuation Financial Advisor Clients 246

Nerd's Eye View

JUNE 7, 2023

All Investment Adviser Representatives (IAR) of registered investment advisory firms are required to file Form U4, a regulatory filing containing public disclosures of certain information about financial professionals.

Compliance 246

Compliance Advertising Media Investments 246

Nerd's Eye View

DECEMBER 7, 2022

For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!). Two final prohibitions under the Marketing Rule include restrictions on the use of predecessor performance (e.g.,

Advertising 246

Advertising Investing Investments Marketing 246

Nerd's Eye View

AUGUST 28, 2024

Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.

Assets 246

Assets Management Clients Compliance 246

Nerd's Eye View

AUGUST 28, 2024

Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.

Assets 245

Assets Management Compliance Retirement Planning 245

Nerd's Eye View

JUNE 12, 2024

For example, if an advisor recommends an investment that prioritizes the commission they would receive rather than any benefit the client would derive from it, they could incur fines and sanctions for violating their fiduciary duty as an advisor.

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investing Investments 245

Abnormal Returns

JUNE 26, 2023

wiredplanning.com) Daniel Crosby talks with advice non-compliance with Derek Hagen who is the founder of Money Health Solutions. axios.com) How much longer can Fidelity Investments keep up this torrid pace of hiring? investmentnews.com) More Americans are facing the net investment income tax, or NIIT. morningstar.com)

Wealth Management 246

Wealth Management Compliance Retirement Management 246

XY Planning Network

DECEMBER 9, 2024

If you're an established financial advisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns. Managing this process effectively is crucial for retaining clients and ensuring compliance.

Compliance 76

Compliance Financial Advisor Investment Advisor Clients 76

Abnormal Returns

MAY 31, 2024

epsilontheory.com) Barry Ritholtz talks with Jeffrey Sherman, deputy chief investment officer at DoubleLine Capital LP. open.spotify.com) Stephen Clapham talks sustainability with Carine Smith Ihenacho is Chief Governance and Compliance Officer at Norges Bank, the Norwegian Sovereign Wealth Fund.

Compliance 263

Compliance Economy Government Banking 263

Nerd's Eye View

JULY 14, 2023

Read More.

Financial Planner 246

Financial Planner Compliance Media Retirement 246

Nerd's Eye View

JUNE 23, 2023

Read More.

Financial Planner 246

Financial Planner Recruitment Compliance Financial Advisor 246

Nerd's Eye View

DECEMBER 6, 2023

And because many service offerings have traditionally focused on areas like investments and securities recommendations, there has been little debate about the need to register as an advisor. Thus, Advice, Business, Compensation, and Securities (ABCS) are the key elements in this definition.

Investing 246

Investing Investments Retirement Planning Financial Advising 246