Nerd's Eye View

MAY 31, 2024

House of Representatives and is now being considered in the Senate would increase the number of firms classified as “small entities” and would require the SEC to assess the impact of proposed regulation on this newly enlarged class of investment advisers (which tend to have fewer compliance staff and resources available compared to larger (..)

Financial Planner 238

Financial Planner Ethics Financial Advisor Taxes 238

The Big Picture

AUGUST 26, 2022

Doing this puts the probabilities more on their side, with the bonus that fewer regulatory headaches, legal liability, and compliance issues occur – they more or less go away if you manage this kind of model properly. Now if only the Sell-side would get religion about fiduciary standards, I would stop hating on them so much.

Accounting 353

Accounting Government Assets Management 353

MainStreet Financial Planning

NOVEMBER 8, 2024

Consult with a tax professional to navigate the complexities and avoid wash-sale rules. Always consult with a tax professional, ( we happy to help you as well ) to tailor these strategies to your personal circumstances and ensure compliance with current tax laws.

Taxes 98

Taxes Medical Consulting Education 98

Nerd's Eye View

JANUARY 1, 2024

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: JPMorgan has announced plans to shut down its robo-advisor offering after just four years, highlighting broadly the challenges of robo-advisors to overcome the challenging economics of acquiring and serving small clients, and in (..)

Retirement Planning 246

Retirement Planning Startup Compliance Clients 246

Nerd's Eye View

JUNE 5, 2023

This month's edition kicks off with the news that Riskalyze has completed its previously-announced rebranding, and will now be known as “Nitrogen”, a ”growth platform” for advisory firms – which represents less of a shift in the platform’s core function (given that Riskalyze’s risk tolerance tool was always (..)

Risk Tolerance 245

Risk Tolerance Retirement License Retirement Planning 245

Midstream Marketing

NOVEMBER 26, 2024

These methods include using technology, content marketing, and strategies that follow compliance rules. This includes using content marketing and sticking to compliance rules. They interact with different clients and have their own rules for compliance. By partnering with compliance experts, they can lower risks.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Indigo Marketing Agency

FEBRUARY 19, 2025

Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business In the mid-2000s, digital marketing was just one of many mediums local businesses were starting to utilize to growalong with newspaper ads, phone book ads, direct mail ads, radio and TV ads, billboards, door-to-door sales, and more.

Financial Services 59

Financial Services Financial Planner Advertising Financial Advisor 59

Nerd's Eye View

SEPTEMBER 26, 2023

What's unique about Bridget, though, is how, as a solo advisor, she found herself overwhelmed with the pressures of having to manage different aspects of her business while also providing great service to her clients as she quickly grew to $77M of AUM in 7 years, and has decided to not to "scale" her firm by hiring more advisors but instead leverage (..)

Financial Planning 246

Financial Planning Financial Advisor Clients Planning 246

Harness Wealth

MARCH 27, 2025

There are many reasons for LP sales, but some include an LP seeking liquidity or an exit from a fund thats underperforming. GP-led secondaries can also encompass “stapled transactions” where the sale of the existing fund interest is linked to an allocation in a new fund managed by the same GP. property interests.

Taxes 52

Taxes Tax Planning Assets Compliance 52

Diamond Consultants

FEBRUARY 11, 2025

This approach removes compliance responsibility from the advisors plate and offloads most middle- and back-office functions, including billing and technology. For example, since the RIA owns compliance, they have the final say over whether to approve a new alternative investment offering.

Compliance 52

Compliance Clients Management Investments 52

Nerd's Eye View

MAY 22, 2024

This latter exemption means that financial advisors with an ownership interest in their company (even a very small one) could still be subject to a non-compete as a term of the sale of their stake (which could impact how they value receiving an ownership interest in their firm).

Financial Advice 246

Financial Advice Commission Clients Financial Advisor 246

Nerd's Eye View

JUNE 4, 2024

In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Nerd's Eye View

JUNE 4, 2024

In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Indigo Marketing Agency

SEPTEMBER 28, 2024

Lack of a Sales Funnel Simply sharing content isn’t enough to turn a casual viewer into a client. What’s missing is a bona fide sales funnel that systematically guides prospects from curiosity to interest and ultimately to conversion. What are the best practices for compliance in social media for financial advisors? We Can Help.

Financial Advisor 95

Financial Advisor Media Compliance Sales 95

Nerd's Eye View

MAY 28, 2024

In this episode, we talk in-depth about how Jenny and her partner grew their firm from $19 million to $250 million of assets under management in just 7 years, thanks in large part to investing in a professionally designed website that highlighted their status as a women-run fee-only financial planning firm, how Jenny felt an increasing burden of operational (..)

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Carson Wealth

OCTOBER 23, 2023

Retail and food service sales have increased at an 8.6% The September retail and food services sales data underlined the economy’s momentum. Overall retail sales and food services rose at an annualized pace of 8.6% Restaurant and bar sales rose at a 9.6% annualized pace over the last three months. in the third quarter.

Marketing 143

Marketing Marketing Economy Retail 143

Nerd's Eye View

MAY 28, 2024

In this episode, we talk in-depth about how Jenny and her partner grew their firm from $19 million to $250 million of assets under management in just 7 years, thanks in large part to investing in a professionally designed website that highlighted their status as a women-run fee-only financial planning firm, how Jenny felt an increasing burden of operational (..)

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Harness Wealth

JANUARY 29, 2025

What is the wash-sale rule? The aim is to find investments that have declined in value since purchase, making them suitable for sale. Of these regulations, investors need to pay particular attention to the wash-sale rule. What is the wash-sale rule? Table of Contents What is tax-loss harvesting?

Taxes 52

Taxes Assets Sales Portfolio 52

Harness Wealth

NOVEMBER 12, 2024

While it’s not always advisable to sell investments at a loss, it may make sense in your situation to consider selling underperforming assets, especially if you’re willing to invest in alternative assets that provide similar exposure without triggering a wash sale. What is the Lifetime Gift Tax Exemption? million ($27.22

Tax Planning 52

Tax Planning Taxes Planning Estate Planning 52

Trade Brains

NOVEMBER 4, 2024

About Sagility India IPO Sagility India India Limited is set to launch its Initial Public Offering (IPO) which consists of an offer for sale of Rs. These shares will be sold as a whole part of the offer-for-sale of the IPO. Here we have Sagility India which is into U.S. per equity share. Sagility B.V.

Healthcare 52

Healthcare Clients Insurance Management 52

Midstream Marketing

OCTOBER 31, 2024

This leads to more sales and better returns on investment (ROI). Email Marketing: Build relationships and increase sales through targeted email campaigns. Compliance and Regulatory Advertising Standards The financial services industry has many rules. Businesses must follow these advertising rules.

Consulting 52

Consulting Financial Market Marketing Marketing 52

Carson Wealth

JULY 3, 2024

Proper tax planning can save your business money and ensure compliance with regulations. Create Succession and Exit Plans Having a clear succession or exit plan ensures the continuity of your business in the event of retirement, sale, or unforeseen circumstances. All taxpayers are required to meet Tax Safe Harbor.

Financial Planning 142

Financial Planning Planning Retirement Planning Tax Planning 142

Carson Wealth

AUGUST 19, 2024

Recession Narrative Fades on Strong Retail Sales As long as employment is strong, consumer spending will be strong. Those numbers were the underpinning of a large upside surprise in July retail sales. Headline retail sales came in at 1.0% Headline retail sales came in at 1.0% versus a 0.2% consensus expectation.

Retail 95

Retail Marketing Marketing Sales 95

Midstream Marketing

DECEMBER 6, 2024

Compliance and Security for RIAs Compliance and data security matter a lot in the financial services industry. By focusing on compliance and security, you can earn your clients trust. You can increase engagement and boost sales by dividing your email list into different groups. A lot of clients use these devices.

Marketing 52

Marketing Marketing Media Engineering 52

Harness Wealth

JANUARY 10, 2025

Gains or losses from these sales are taxed as capital gains, either short-term or long-term, depending on how long the cryptocurrency was held. When striving to stay compliant, its important to maintain detailed records of all cryptocurrency transactions, including purchase price, sale price, and dates. No, you dont.

Taxes 52

Taxes Assets Media Education 52

Steve Sanduski

JANUARY 22, 2025

Many advisors in a small firm are also the Chief Compliance Officer, they’re the Chief Marketing Officer, they may be the Chief People Officer, or they may have someone who does it, but they’re really reporting to them. So the pace is going to slow down.

Wealth Management 52

Wealth Management Management Clients Valuation 52

Harness Wealth

FEBRUARY 4, 2025

Capital Gains on Sale: Profits from selling real estate are taxed as long-term capital gains if held for more than a year. 1031 Exchanges (Real Estate): Investors can defer capital gains taxes by reinvesting proceeds from the sale of an investment property into a like-kind property within 180 days.

Taxes 52

Taxes Investments Investing Startup 52

Carson Wealth

JULY 24, 2023

Consumption was Strong Retail sales rose at a 4.7% Core retail sales, excluding categories such as vehicle and gas station sales, rose at a 6.3% Even after adjusting for inflation, “real” retail sales rose at a 1.9% So, it helps to look at the last three months. Let’s walk through some of the highlights. annual pace.

Marketing 98

Marketing Marketing Economy Retail 98

Steve Sanduski

OCTOBER 27, 2024

Bringing in New Clients: Includes marketing and sales processes for attracting and converting prospects. By adopting a systems mindset, creating effective structures, and following the Streamlined Operations Strategy, you can enhance efficiency, improve client service, and ensure compliance.

Clients 64

Clients Financial Advisor Management Compliance 64

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. Plus, the buyer provides little, if any, ongoing support.

Wealth Management 52

Wealth Management Recruitment Retirement Valuation 52

Harness Wealth

FEBRUARY 19, 2025

and have reported more than $5 million in gross receipts or sales on their previous year’s tax return. Ensure BOI reporting compliance and remain updated with the latest BOI regulations with a tax advisor from Harness. gross receipts/sales), and certain other regulated entities are typically exempt.

Taxes 52

Taxes Financial Advisor Consulting Certification 52

Trade Brains

SEPTEMBER 22, 2023

The Company’s primary sources of income include the sales of seeds, agrochemicals, and other products. More than 130 nations are served by the company’s product sales. In terms of employment services, it offers permanent recruitment services, temporary staffing options, and regulatory consulting for labour law compliance.

Portfolio Analysis 116

Portfolio Analysis Portfolio Healthcare Banking 116

Trade Brains

SEPTEMBER 13, 2024

Its projects stand out for modern designs, sustainable practices, and compliance with regulatory norms, including RERA compliance. As of 2024, the demand for residential properties remains strong, particularly in the Mumbai Metropolitan Region (MMR), which accounts for 29% to 33% of residential sales among India’s top cities.

Compliance 52

Compliance Sales Marketing Marketing 52

Harness Wealth

NOVEMBER 27, 2023

Core components of CAS involve bookkeeping, payroll, tax planning & compliance services customized for each client. Client Accounting Services are a comprehensive set of offerings provided by accounting firms to assist both individual and business clients in both compliance matters and day-to-day financial management.

Accounting 59

Accounting Clients Compliance Taxes 59

Diamond Consultants

NOVEMBER 29, 2022

Knowledge is power—particularly in a world where compliance scrutiny has ramped up, and firms prioritize risk reduction over revenue creation. Internal investigations are exactly what they sound like, a review undertaken by your firm’s legal and compliance team to gather the facts surrounding a potential infraction.

Compliance 52

Compliance Recruitment Media Planning 52

Sara Grillo

OCTOBER 21, 2022

Jonathan spoke with Swarn Chatterjee, a UGA professor who reassured him that he could do real financial planning work and make better money working for a fee-only firm than by going into one of those insurance sales jobs. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Sara Grillo

APRIL 19, 2024

Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor. Check their ADV (as we explain in video above) Minimal use of complex, high fee products such as direct indexing , ESG funds , etc.

Financial Advisor 97

Financial Advisor Financial Advice Accounting Clients 97