Hubly

JULY 15, 2025

The Bigger Picture While NIGO errors may not trigger fines, they’re often tied to broader compliance issues, particularly in recordkeeping. For instance, in 2024, the SEC fined 26 firms a combined $392.75 million for failing to maintain and preserve electronic communications. This worst-case scenario is unlikely to happen.

Compliance 52

Compliance Accounting Clients Communication 52

Carson Wealth

JANUARY 6, 2025

Well kick off the year by looking back at a few of our favorite charts for 2024. Favorite Charts From 2024 Last Tuesday, December 31, was the final trading day of the year. The Carson Investment Research Team put their heads together and chose some of the charts we thought best tell the story of 2024.

Marketing 64

Marketing Marketing Economy Economics 64

Harness Wealth

APRIL 16, 2025

Hardware Hardware investments present flexible tax planning opportunities, with Section 179 allowing immediate deductions up to $1,250,000 in January 1, 2024 for qualified purchases. These deductions can significantly reduce your startup’s tax burden while supporting necessary operational infrastructure.

Startup 52

Startup Taxes Tax Planning Transportation 52

Harness Wealth

FEBRUARY 19, 2025

Ensure BOI reporting compliance and remain updated with the latest BOI regulations with a tax advisor from Harness. Enter company applicant information (if applicable) Only reporting companies created or registered in 2024 or later need to fill in this section. If your company was formed before 2024, you can skip this section.

Taxes 52

Taxes Financial Advisor Certification Government 52

Carson Wealth

DECEMBER 16, 2024

We Still Believe in Santa Stocks fell overall last week, with some of the weakness masked by big gains from the communications services and consumer discretionary sectors. We think so and continue to expect a potential year-end rally and more new highs before 2024 is officially in the books. Should you still believe in Santa?

Marketing 52

Marketing Marketing Insurance Food 52

Carson Wealth

DECEMBER 30, 2024

Old investing maxim This is our last market commentary of 2024, and it may be the most important. In fact, in the second half of todays commentary we look back at the recommendations we shared at the beginning of the year in our 2024 Outlook and how they turned out. With that, heres the verdict on 12 calls we made in our 2024 Outlook.

Marketing 64

Marketing Marketing Valuation Economy 64

SEI

JULY 18, 2025

Stratos supports a network of independent financial advisors by providing flexible affiliation models, including a hybrid option, and practice management consulting, operations, IT, and compliance services. 31, 2024, filed with the Securities and Exchange Commission.

Investments 52

Investments Investing Wealth Management Financial Advisor 52

Nerd's Eye View

JUNE 3, 2024

Welcome to the June 2024 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, and underlying trends and developments that are emerging in the world of technology solutions for financial advisors!

Risk Tolerance 246

Risk Tolerance Communication Startup Retail 246

Nerd's Eye View

JULY 26, 2024

Also in industry news this week: While the number of RIA M&A deals has not surged in 2024, the average size of deals has increased, demonstrating interest from (often private-equity-backed) firms in pursuing larger targets Off-channel communication tops the list of concerns amongst RIA compliance professionals, with advertising and marketing coming (..)

Financial Planner 246

Financial Planner Retirement Communication Retirement Planning 246

Nerd's Eye View

JANUARY 26, 2024

Also in industry news this week: A House committee has advanced a bill that would extend several expired business-related tax measures from the Tax Cuts and Jobs Act and would increase the value of the Child Tax Credit The SEC released its examination priorities for 2024, which include a focus on advisers' adherence to their duty of care and duty of (..)

Financial Planner 246

Financial Planner Retirement Planning Financial Advisor Retirement 246

Nerd's Eye View

JULY 8, 2024

After several turbulent years in both markets and workforces, 2024 appears to be the 'most normal' year of late, with strong market performance, cooling (or at least no longer rising!?) We look forward to continuing the journey with you through the rest of 2024! interest rates, and relatively little new tax legislation (yet).

Ethics 239

Ethics Education Financial Advice Communication 239

FMG

OCTOBER 2, 2024

You’re juggling client meetings, market analysis, and a never-ending stream of communications. When advisors send a quick text reminder about documents previously requested via email, they often see those materials completed and returned within just 5 minutes (MyRepChat Internal Data, 2024).

Financial Advisor 52

Financial Advisor Communication Clients Numbers 52

Carson Wealth

FEBRUARY 20, 2024

Big picture: The bull market is alive and well, and we continue to expect higher prices overall in 2024. Last week’s weakness was mainly due to declines in large tech and communication services companies, while small- and mid-caps gained on the week. With respect to policy, we still expect rate cuts in 2024. Headline CPI rose 0.3%

Marketing 96

Marketing Marketing Economy Medicine 96

Steve Sanduski

AUGUST 27, 2024

On today’s show, Lisa and I dig into the details of Schwab’s 2024 Benchmarking Study , paying particular attention to the five Guiding Principles for Advisory Firm Success that Lisa says separate good firms from the best of the best. Lisa Salvi and I discuss: Intentionally creating and managing your brand.

Strategic Planning 59

Strategic Planning Clients Communication Assets 59

Harness Wealth

OCTOBER 11, 2023

In fact, cybersecurity has become such an important issue for the accounting industry that, starting in 2024, the CPA exam will include a new section specifically focusing on information systems and controls, ensuring all new accountants have the technological knowledge needed to properly protect sensitive information.

Accounting 59

Accounting Taxes Clients Communication 59

Carson Wealth

AUGUST 21, 2023

High-tech equipment (computers, communication equipment, semiconductors) production is surging once again, rising more than 7% over the first seven months of this year for a cumulative gain of 20% since February 2020 (pre-pandemic). Production of medium and heavy trucks is also moving up, rising 14% this year.

Marketing 52

Marketing Marketing Economy Retail 52

The Big Picture

SEPTEMBER 10, 2024

And so it’s, it’s sort of managing that, all of those different constituents with communication. And pretty much, you know, July and August, that’s about what we’ve seen in 2024. We have institutional clients, we have retail clients, we have, you know, pension funds, we have endowments.

Valuation 157

Valuation Clients Investing Investments 157

Sara Grillo

MARCH 16, 2024

Transparency is the single most powerful force that exists in realm of human communication. pricing, technology, compliance) as they build their transparent advice businesses.” Flat fee advisor “Highly qualified community with a shared vision for fairness, honesty, and transparency for clients. I look forward to more!

Financial Advice 52

Financial Advice Communication Financial Advisor Fee Only 52

The Big Picture

JULY 29, 2024

00:10:47 [Speaker Changed] So in the additive services that Orion offers now are financial planning, compliance, CRM services, risk and analysis portfolio construction and advisor portal and investor portal. We wanna be sure that our communications tools leverage large language models so they can be highly personalized.

Clients 144

Clients Portfolio Financial Advisor Investing 144

The Big Picture

FEBRUARY 13, 2023

Tell us a little bit about what you do on Twitter and how was it getting that through legal and compliance? RIEDER: Well, first of all, anything I tweet goes through legal and compliance before it gets out there, first part. That is really unusual for a person with your role in a firm as large and buttoned down as BlackRock.

Economy 144

Economy Numbers Marketing Marketing 144

Carson Wealth

JULY 15, 2024

Carson Investment Research has released its Midyear Outlook 2024: Eyes on the Prize. Here’s a quick look at what we said in our Outlook 2024 , penned back in November 2023, what’s actually happened, and what we’re expecting over the rest of the year here at midyear. So far so good. What happened: The Fed ended its hikes.

Investments 97

Investments Investing Marketing Marketing 97

Carson Wealth

AUGUST 26, 2024

While not in any way a formal policy meeting, Jackson Hole has often provided the Fed chair with an opportunity to communicate policy shifts, and this meeting did not disappoint with a significant policy pivot. If the Fed follows through on Powell’s Jackson Hole policy shift, we think it likely we’ll see it again in 2024.

Marketing 95

Marketing Marketing Economy Communication 95

Carson Wealth

SEPTEMBER 3, 2024

As we’ve been noting all summer, election years tend to see summer rallies and that has played out nicely once again in 2024. We’ve long said that the next stage to this bull market will be a broadening out of the rally, and not just the high-flying tech and communication services names doing well.

Marketing 142

Marketing Marketing Taxes Economy 142

Carson Wealth

JULY 22, 2024

President Biden’s withdrawal from the 2024 presidential race does not change our view of the election’s impact that we presented in our Midyear Outlook. The change in the Democratic ticket does not change our fundamental view of the election, which we discussed at length in our recently released Midyear Outlook 2024: Eyes on the Prize.

Manufacturing 97

Manufacturing Marketing Marketing Economy 97

Abnormal Returns

DECEMBER 30, 2024

downtownjoshbrown.com) Five big compliance trends in 2024 including fines for off-channel communications. (slate.com) Wealth matters when it comes to longevity. wsj.com) Advisers The wealth management rush into private credit and private equity is on fast forward. kitces.com) Why RIAs need to embrace the trust business.

Clients 147

Clients Wealth Management Compliance Communication 147