Nerd's Eye View
NOVEMBER 20, 2024
Investment advisers are fiduciaries that owe a duty of care and loyalty to their clients. One component of this duty of care is an obligation to seek best execution of client securities transactions. The SEC, in its interpretive release, sets an expectation of "periodic and systematic evaluation" (i.e.,
Nerd's Eye View
JUNE 9, 2025
2025 has had a tumultuous start for most advisory firms, as tariffs-driven market volatility has increased client anxiety and the amount of required hand-holding, forcing advisory firms to manage their own expenses a bit more closely in the face of greater revenue uncertainty.
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Nerd's Eye View
OCTOBER 16, 2024
But with the anticipated sunset of TCJA in 2026 and the reversion to the pre-2018 AMT rules, a large subset of households will find themselves owing AMT – many of whom will do so for the first time. For example, clients with unexercised ISOs could exercise those options prior to TCJA's sunset without AMT exposure.
Wealth Management
JULY 3, 2025
Focus went public in 2018, and then private again in 2023 , when it sold to Clayton, Dubilier and Rice, and Stone Point Capital.) manages about $300 million in client assets. He’s joined by Nicole James, his wife and director of client events, Edith Corrales, operations associate, and Amelia Kitchens, front office representative.
Nerd's Eye View
OCTOBER 23, 2023
Many financial advisors take pride in the comprehensive nature of the advice they provide to clients and use the variety of services offered as a point of differentiation between themselves and other types of advisors.
Wealth Management
JULY 2, 2025
Related: Planning for Older Clients and Those with Disabilities Many GRATs include a so-called “swap” power in which the grantor is permitted to substitute assets of equivalent value with the GRAT. Prior case law in the Southern District of New York (Morales v.
Nerd's Eye View
SEPTEMBER 19, 2022
Early on, the ‘financial plan’ was primarily used as a way to demonstrate a prospective client’s ‘gaps’ and needs for products such as mutual funds or life insurance (which the advisor would then be ready to sell to the client). What’s notable, however, is that the most ‘productive’ (i.e.,
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