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How To Register And Remain Registered With The SEC As An Internet Investment Adviser

Nerd's Eye View

A little over 20 years ago, when the Internet was still just a few years into gaining widespread use, the SEC understood its potential to transform how financial advisory firms conducted business with the ability to deliver advice digitally, lowering the barriers to serve clients across the country.

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SEC Narrows Scope of Internet Adviser Exemption

XY Planning Network

Since its approval by the SEC in 2002, the Internet Adviser Exemption has gained increasing popularity and interest among advisers as a possible path to SEC registration, especially if the adviser may not otherwise qualify for federal registration.

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Don’t forget about your own financial wellbeing

Million Dollar Round Table (MDRT)

By Matt Pais, MDRT Content Specialist With all the work advisors do for their clients’ financial health, it can be easy to overlook their own needs. Between 2002 and 2004, his investments caught up to him. This includes MDRT Past President Brian D. Heckert, CLU, ChFC , a 35-year member from Nashville, Illinois.

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Old School Alts, Represent!

Random Roger's Retirement Planning

Portfolio 1 is 75% SPDR S&P 500 (SPY)/25% client and personal holding BTAL, Portfolio 2 is 100% PRPFX and Portfolio 3 is 100% VBAIX. Going back to 2002 and PRPFX has a CAGR that beats VBAIX by 74 basis points annually thanks mostly to how well gold did in the first decade of this century.

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How to Thrive in Insurance and Financial Services With Marques Ogden

NAIFA Advisor Today

Former NFL player Marques Ogden is a keynote speaker, business coach, and corporate consultant, passionate about elevating his clients' success. He attended Howard University from 1998-2002 on a football scholarship and received his bachelor’s in finance — being drafted by the NFL in 2003.

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New Year's Day Retirement Spectacular!

Random Roger's Retirement Planning

If we go back to 2002 with this second back test using ProFunds Ultra S&P 500 (ULPIX) which is the mutual fund predecessor of SSO it looks bad because of how big of a hole any 2x fund would have had to dig out from after 2008 so there's some good context about the risk of any leverage strategy.

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6 Values Exercises to Enhance Financial Planning for Couples

eMoney Advisor

However, you don’t have to become a life planner to incorporate conversations about clients’ values into your practice’s data gathering. 3 Guiding your clients through a values exercise can promote healthy communication and expression of values, and the opportunity to building a truly personal financial plan.