Diamond Consultants

FEBRUARY 11, 2025

Supported RIAs are commonly (and loosely) referred to by an array of different names, such as Platform RIAs, Service Providers, Outsourced Solutions, Tuck-ins, Aggregators, and Roll-upsamong others. For the purpose of this article, we will refer to all of these as Supported RIAs.

Compliance 52

Compliance Clients Management Investing 52

Nerd's Eye View

JULY 18, 2023

In this episode, we talk in-depth about how Nancy overcame her initial imposter syndrome and went from finding attorneys to be threatening to realizing that they are just regular people and do not necessarily know a lot about finance by recognizing how important her own life experiences were, how Nancy also did expand her technical expertise by earning (..)

Financial Planning 230

Financial Planning Planning Financial Advisor Financial Planner 230

Harness Wealth

APRIL 4, 2025

How to Anticipate and Navigate Property Tax Scenarios for Businesses ( Carl Hoemke , CPA Practice Advisor) Property taxes and business license compliance present a complex landscape, especially when significant business events involving mergers, acquisitions, or expansion occur. Did you miss last weeks edition? You can find it here.

Taxes 52

Taxes License Banking Government 52

Harness Wealth

MARCH 14, 2025

Without a secure system in place, firms face the risk of hacked email accounts, lost or misplaced documents, and even compliance violations with the IRS and financial regulations. With compliance safeguards built-in, firms no longer need to worry about unsecured email attachments or misplaced documents.

Taxes 52

Taxes Compliance Tax Planning Clients 52

Harness Wealth

MARCH 27, 2025

Simplified tax filing PTET’s consolidation of state tax payments streamlines administrative processes and minimizes compliance costs. Failure to understand relevant differences can result in potential compliance issues and penalties. Instead, they receive a federal tax credit, simplifying their tax filing process.

Taxes 52

Taxes Compliance Consulting Financial Planning 52

Million Dollar Round Table (MDRT)

MARCH 2, 2023

Our clients don’t necessarily know about the referral program, so if they refer someone who becomes a client, that’s when we ask, “Which one of these things would you like?” ” Of course all gifts are subject to compliance approval. It was an unexpected thank-you.

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Compliance Clients Marketing Marketing 98

Nerd's Eye View

DECEMBER 7, 2022

Furthermore, investment advisers may generally reference the performance results of related portfolios only if all related portfolios are included in the advertisement.

Advertising 246

Advertising Investing Investments Marketing 246

Nerd's Eye View

FEBRUARY 22, 2023

For example, in certain contexts, the terms “you” and “your” can refer solely to the advisory firm itself, while in others, the terms can encompass any of the firm’s related persons (e.g., directors and officers, partners, and employees of the firm).

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Commission Clients Investing Investments 236

Harness Wealth

FEBRUARY 5, 2025

Earned income refers to wages, salaries, and self-employment earningsessentially any income obtained through work. Maintaining accurate records of foreign income and taxes paid is therefore vital to calculating the correct FTC and maintaining tax compliance. citizens navigate the often-confusing realm of international tax compliance.

Taxes 52

Taxes Compliance Accounting Government 52

Harness Wealth

DECEMBER 30, 2024

The key differences between 83(i) and 83(b) elections The benefits and risks of an 83(i) election The eligibility criteria for an 83(i) election How to file an 83(i) election 83(i) compliance requirements for companies Is an 83(i) election right for you? What is an 83(i) election? Starting at $1,500 per year.

Taxes 52

Taxes Compliance Compensation Planning Financial Advisor 52

Midstream Marketing

DECEMBER 10, 2024

This program can encourage your clients to refer others. You can think about offering rewards for people who refer others to you. It is nice to show gratitude to clients who refer others. Make it simple for clients to refer people to you. Provide clear steps for referring others. Using digital tools is important.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Indigo Marketing Agency

SEPTEMBER 28, 2024

Reference specific pain points or interests of the individual you’re reaching out to. What are the best practices for compliance in social media for financial advisors? To ensure compliance: Know the Regulations: Stay updated on industry regulations and guidelines from bodies like the SEC and FINRA.

Financial Advisor 95

Financial Advisor Media Compliance Sales 95

Carson Wealth

DECEMBER 9, 2024

For reference, the 2019 average was 166,000. Compliance Case # 02542778_120924_C The post Market Commentary: Stocks Hit New Highs Amid a Year of Milestones appeared first on Carson Wealth. This is why we always recommend taking a 3-month average to get the overall picture, and right now, thats sitting at a very healthy 173,000.

Marketing 67

Marketing Marketing Economy Manufacturing 67

Harness Wealth

MARCH 27, 2025

Due diligence involves the following: Identifying potential tax risks: Its important to review the target fund’s tax returns, partnership agreements, and other relevant documents to identify any potential tax liabilities or compliance issues. The role of technology: Technology is increasingly the foundation of efficient tax compliance.

Taxes 52

Taxes Tax Planning Assets Compliance 52

Diamond Consultants

DECEMBER 16, 2024

Also, it likely means ceding some control in any or all of the following areas: brand, compliance, investment autonomy, marketing, and operations. Lastly, the ongoing payout post-transaction is typically quite low for the selling advisor. In some cases, the buyer simply views a sellers book of business as a sound financial investment.

Wealth Management 52

Wealth Management Recruitment Retirement Valuation 52

Midstream Marketing

JANUARY 19, 2025

You may have heard of this referred to as the "Marketing Rule," as that is primarily what it has been focused on for so many years. " So if you don’t fully understand it today (or if you suddenly realize you’re not in compliance), you still have a lot of time to get things right.

Advertising 40

Advertising Marketing Marketing Investment Advisor 40

Harness Wealth

FEBRUARY 4, 2025

These include legal fees, administrative costs, audit expenses, compliance costs, and operational fees. Navigate compliance with capital gains tax rules for alternative assets, including collectibles, crypto, and private investments. Starting at $1,500 per year. What are alts?

Taxes 52

Taxes Investing Investments Startup 52

Harness Wealth

JANUARY 10, 2025

Crypto investors should consult a tax professional to ensure full compliance with IRS regulations. Make sure you keep detailed records for compliance purposes. Harness Tax LLC is affiliated with Harness Wealth Advisers LLC, collectively referred to as “Harness Wealth” or Harness. No, you dont.

Taxes 52

Taxes Assets Media Education 52

Good Financial Cents

DECEMBER 14, 2022

Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. To keep a business running smoothly and help avoid costly non-compliance fees, CCOs monitor company policy and compliance. Average salary: $114,832 per year. Insurance Advisor.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

David Nelson

JULY 25, 2022

Most have a compliance division to monitor employee trading. We would have been better off if the amendment referred to any elected office instead of just the Presidency. It’s morally wrong and Americans should demand an end to it. You don’t have to be a corporate insider to meet the test. Just ask Martha Stewart.

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Compliance Portfolio Management Management Manufacturing 98

Darrow Wealth Management

OCTOBER 21, 2024

Cash in exchange for your shares Again, refer to the terms of the deal! Public company employees are often subject to blackout periods and lockups at some point during M&A activity, so make sure you stay in compliance. Please refer to the media page for more information and links to published works.

Taxes 114

Taxes Wealth Management Planning Media 114

Risk Management Guru

SEPTEMBER 20, 2021

We are highlighting some of the reference professionals we follow who are seasoned Risk Managers, each in its own area of expertise. Norman has led large and small Internal Audit departments, having had several roles as Chief Risk Officer and Chief Compliance Officer, and managed IT security and Governance functions. How to Connect.

Risk Management 59

Risk Management Government Management Compliance 59

Norman Marks

OCTOBER 30, 2024

To quote the Management and Strategy Institute: Root Cause refers to the fundamental reason behind a problem or defect in a process. I think we would all agree that identifying the root cause of an issue is important. It is the underlying source that, when addressed, can prevent the recurrence of issues. Root cause analysis is […]

Management 64

Management Compliance Government 64

Harness Wealth

SEPTEMBER 23, 2024

Key Takeaways: Too many tax practices are bogged down in commoditized administrative tasks and compliance work, making it challenging to cross-sell services to expand client relationships. The more a firm can either automate processes or outsource tasks, the more time it’ll have to build deeper client relationships.

Taxes 52

Taxes Clients Compliance Tax Planning 52

Harness Wealth

FEBRUARY 19, 2025

Ensure BOI reporting compliance and remain updated with the latest BOI regulations with a tax advisor from Harness. A tax advisor from Harness can also help businesses stay up-to-date with the changing legal framework surrounding BOI reporting, ensuring ongoing compliance. Starting at $1,500 per year. Many businesses are exempt.

Taxes 52

Taxes Financial Advisor Consulting Certification 52

Sara Grillo

OCTOBER 31, 2022

Salaske, Chief Executive Officer and Chief Compliance Officer is Firstmetric’s principal owner and is the sole Member and Manager of Firstmetric, LLC.” If the custodian is referring you to an advisor outside the firm, look at this section and understand how much the advisor is paying to get you referred to them.

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

Indigo Marketing Agency

MARCH 24, 2023

Expertise in Tax Planning & Compliance: A CPA can help you identify tax-saving opportunities and help keep your clients in compliance with tax laws, reducing the risk of costly penalties and fees. This makes you more referable, both from a client standpoint and a professional network standpoint.

Financial Advisor 52

Financial Advisor Tax Planning Taxes Clients 52

Diamond Consultants

JULY 16, 2024

However, not every firm permits advisors to add such additional services, due to compliance and risk mandates or logistical and operational issues (see point 3 below). If your niche is divorcees, you likely need a strong bench of attorneys to refer business to. Expand your affiliations. Have a “thing.”

Clients 52

Clients Retirement Planning Taxes Estate Planning 52

BlueMind

SEPTEMBER 3, 2022

Related: Compliance and Automation – An Ideal Unison! Risk Tolerance In academic terms, risk tolerance refers to the client’s “willingness” to take on risks. In financial terms, that would consist of the desire to pursue financial actions that have uncertain outcomes and could very well result in negative circumstances.

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Harness Wealth

NOVEMBER 12, 2024

Note that gifting private company stock may require a professional appraisal to establish fair market value and ensure compliance with IRS regulations. Before making any moves, consult with a tax advisor to understand the implications and ensure compliance with all legal requirements. What is the Lifetime Gift Tax Exemption?

Tax Planning 52

Tax Planning Taxes Planning Estate Planning 52

Trade Brains

SEPTEMBER 26, 2024

These updates will also be available on BSE Limited’s website for public reference. NSE also oversees compliance by its members and listed companies with relevant rules and regulations. Regulatory compliance: Operating in a highly regulated industry, NSE must comply with strict legal and regulatory requirements.

Compliance 90

Compliance Banking Management Risk Management 90

Harness Wealth

JANUARY 29, 2025

When you have limited expertise: tax-loss harvesting requires careful monitoring and compliance with IRS regulations. Harness Tax LLC is affiliated with Harness Wealth Advisers LLC, collectively referred to as “Harness Wealth” Harness Wealth Advisers LLC is a paid promoter, internet registered investment adviser.

Taxes 52

Taxes Assets Sales Portfolio 52

Norman Marks

OCTOBER 7, 2024

Microsoft Copilot: Risk culture refers to the collective values, beliefs, knowledge, attitudes, and understanding about […] But my question is whether it is something that actually exists (or should exist), and whether the term has a useful meaning. First, what does it mean.

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Compliance Government 53

Investment Writing

NOVEMBER 20, 2024

Show them you can work with the compliance department Some bad writing results from fear of the firm’s compliance department. I suspect that the use of “it has been demonstrated” comes from the desire to fend off a compliance officer’s complaint that there’s no proof that the asset mix is so important.

Compliance 52

Compliance Communication Assets Investing 52

Harness Wealth

JANUARY 9, 2025

Remaining compliant Implementing a Mega Backdoor strategy requires precision to ensure compliance with IRS rules and to maximize its benefits. Mega Backdoor Roth 401(k): In this case, you convert your after-tax contributions directly into a Roth 401(k) within your employer’s plan.

Taxes 52

Taxes Planning Retirement Retirement Planning 52

FMG

SEPTEMBER 21, 2022

If reading from a script would feel unnatural, then consider writing a bullet point list that you can reference when filming. You may need to send your script over to compliance before you film. Before you begin distributing your video, make sure to send it to your compliance team (if applicable). Publishing Your Video.

Financial Advisor 59

Financial Advisor Marketing Marketing Distribution 59

Random Roger's Retirement Planning

OCTOBER 20, 2024

My hunch is that it got posted before a proper compliance review and was taken down. What they've called First Responders, I've referred to as having a direct cause and effect. When I reloaded it, the webinar had disappeared as did the Tweet I saw that pointed me to the webinar. Here's breakdown. Stocks go down, they go up.

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Portfolio Assets Management Compliance 98