Nerd's Eye View

AUGUST 5, 2022

From there, we have several articles on advisor content marketing: How advisors can generate topic ideas for content to engage their target audience. We wrap up with three final articles, all about the advisor regulatory landscape: Why better regulation of the insurance industry could make life easier for financial advisors.

Financial Planner 246

Financial Planner Compliance Insurance Retirement Planning 246

BlueMind

JULY 15, 2022

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Nerd's Eye View

JUNE 23, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that amid a flurry of SEC-proposed rules for investment advisers, the Investment Adviser Association this week called on the regulator to assess whether the compliance burden these regulations would put on advisers outweighs (..)

Financial Planner 246

Financial Planner Recruitment Compliance Financial Advisor 246

Nerd's Eye View

MAY 5, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that the House Financial Services Committee unanimously passed a bill that would direct the SEC to conduct a study and carry out a rulemaking on the definition of a "small entity" to reduce the compliance burden on small businesses, (..)

Financial Planner 246

Financial Planner Financial Services Electronics Compliance 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 Financial Advisor 246

Nerd's Eye View

NOVEMBER 11, 2022

While some are looking to gain a first-mover advantage by leveraging client testimonials and third-party endorsements (and adjusting their compliance programs before doing so), others are taking a wait-and-see approach. Also in industry news this week: Why “SECURE 2.0”

Financial Planner 244

Financial Planner Retirement Planning Compliance Clients 244

Carson Wealth

MAY 7, 2025

Compliance Challenges and Common Philanthropic Pitfalls Weve said, but it bears repeating, that philanthropic planning can be complex, especially when the amounts involved are substantial. This article is not intended to provide specific legal, tax, or other professional advice. 7767505.1

Compliance 52

Compliance Distribution Taxes Consulting 52

Wealth Management

JUNE 11, 2025

But these discussions will have to happen soon, as the premium notices may well be on their desks as I write this article. Number 8860726. It’s also an opportunity with not one but two, built-in time-sensitive calls to action by the client.

Wealth Management 165

Wealth Management Insurance Estate Planning Clients 165

Nerd's Eye View

SEPTEMBER 23, 2022

While the new rule allows financial advisors to proactively use testimonials (from clients), endorsements (from non-clients), and highlight their own ratings on various third-party websites, the SEC’s warning suggests that advisory firms will want to take care to abide by the compliance requirements linked to the new rule.

Financial Planner 246

Financial Planner Compensation Planning Insurance Commission 246

Nerd's Eye View

SEPTEMBER 6, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the Treasury Department has finalized rules requiring most SEC-registered RIAs to implement risk-based Anti-Money Laundering and Countering the Financing of Terrorism programs, including a requirement to report suspicious (..)

Financial Planner 246

Financial Planner Tax Planning Compliance Financial Advice 246

Nerd's Eye View

JANUARY 13, 2023

FINRA has released its enforcement priorities for 2023, including a continued focus on compliance with Regulation Best Interest as well as several new priority topics, such as manipulative trading, fixed-income pricing, and trading in fractional shares. How stocks and bonds tend to perform following their biggest down years.

Financial Planner 241

Financial Planner Retirement Planning Retirement Commission 241

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

MARCH 24, 2025

In this article, Senior Financial Planning Nerd Sydney Squires discusses how to construct an associate advisor onboarding plan that guides an associate advisor through their first year, establishes clear checkpoints for progress, yet still allows enough flexibility to grow with the new advisor!

Planning 130

Planning Clients Financial Planning Communication 130

Nerd's Eye View

FEBRUARY 16, 2024

Also in industry news this week: While AUM fees remain ubiquitous among fee-only advisors, recent data show that an increasing number leverage multiple fee models to meet different client needs and preferences While CFP Board has come out firmly in favor of the Department of Labor's proposed Retirement Security Rule, FPA has taken a more cautious approach, (..)

Financial Planner 246

Financial Planner Fee Only CFP Clients 246

Nerd's Eye View

AUGUST 4, 2023

Also in industry news this week: RIA M&A activity fell in the second quarter compared to the same period last year amid rising financing costs, though continued private equity interest in the RIA space could help buoy deal volume going forward According to a recent survey, RIAs appear to be taking a defensive approach toward the SEC's new marketing (..)

Financial Planner 246

Financial Planner Retirement Planning Compliance Retirement 246

Nerd's Eye View

FEBRUARY 17, 2023

Further, an investment adviser who can make trades on behalf of a client would be deemed to have custody of the client’s assets, which could substantively shift a very sizable portion of the wealth management RIA community under the custody rule, though it remains to be seen whether or what exact custody rule compliance requirements would be (..)

Financial Planner 246

Financial Planner Fiduciary Duty Retirement Planning Compliance 246

Nerd's Eye View

MARCH 17, 2025

This is largely because, for financial advisors, it's not 'just' about capturing notes from the client meeting itself, but also about managing everything that follows: recording meeting notes in the CRM for compliance purposes, assigning post-meeting tasks to the team, and sending the client a post-meeting recap email. Read More.

Financial Advisor 147

Financial Advisor Clients Financial Planning Professional Services 147

Nerd's Eye View

FEBRUARY 2, 2024

Also in industry news this week: A recent study from advisor digital marketing firm Snappy Kraken suggests firms that invest in Search Engine Optimization (SEO), have a regular cadence of emails to their subscriber list, and include video content in these messages tend to get greater returns from their marketing efforts CFP Board has created a guide (..)

Financial Planner 246

Financial Planner CFP Compliance Clients 246

Nerd's Eye View

MAY 3, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a recent study indicates that nearly a third of advisors in the independent broker-dealer channel have considered transitioning to the RIA channel during the past year as they seek higher payouts and not just "independence" but (..)

Financial Planner 246

Financial Planner Healthcare Retirement Financial Advisor 246

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 Taxes Financial Advisor 238

Nerd's Eye View

JUNE 28, 2024

Also in industry news this week: How the SEC could target dually registered firms for enforcement of their duties to care for and manage conflicts of interest under Regulation Best Interest and the Investment Advisers Act to send a message to the industry and to clarify its expectations for these "dual-hatted" firms and their advisors Why a shift in (..)

Financial Planner 189

Financial Planner Clients Numbers Compliance 189

Trade Brains

JUNE 11, 2025

RBI requires all such NBFCs to be listed within three years, making the September 2025 deadline crucial for compliance. Trade Brains Technologies Private Limited or the author are not liable for any losses caused as a result of the decision based on this article. Please consult your investment advisor before investing. The post ₹1.4

Electronics 85

Electronics Engineering Financial Services Sales 85

Midstream Marketing

DECEMBER 7, 2024

The integration provides workflows that are automatic, along with digital marketing and compliance tools. AdvisorStream’s effective compliance tools help make this task simpler. The blend of new technology and full compliance features makes this option a smart way to succeed. The content is pre-approved and easy to track.

Compliance 52

Compliance Financial Advisor Clients Communication 52

Nerd's Eye View

JULY 22, 2024

And yet, not all teams are created equal: While some team members complement each other well enough to facilitate more clients and revenue, others can be problematic to the extent that the firm owner has less time to advise clients because of the additional managerial burden that a poorly functioning team creates.

Clients 246

Clients Communication Compliance Management 246

Midstream Marketing

NOVEMBER 26, 2024

This article looks at tested methods to engage with RIAs. These methods include using technology, content marketing, and strategies that follow compliance rules. Overview of the article and its focus on strategies for engaging RIAs This article helps RIAs improve their marketing efforts. This can boost brand awareness.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

XY Planning Network

DECEMBER 18, 2023

Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors be successful. From RIA compliance best practices to using behavioral marketing tactics to get more clients, this list is loaded with one helpful resource after another to send you into 2024.

Financial Advisor 117

Financial Advisor Compliance Clients Marketing 117

Harness Wealth

APRIL 30, 2025

In this article, well examine the nature of IRS audits, the common audit red flags that result in IRS scrutiny, and how professional tax advisors can help reduce the risk of you being audited. An IRS audit is a formal review of your financial records to verify their accuracy and compliance with tax laws.

Compliance 52

Compliance Taxes Accounting Consulting 52

Advisor Perspectives

JUNE 18, 2024

In this article, I will discuss what compliance officers do and the various factors advisors should consider in determining who should serve as their CCO.

Compliance 49

Compliance 49

Midstream Marketing

JANUARY 24, 2025

This article aims to help financial advisors make an informed decision by discussing the pros and cons of each option, ultimately guiding them towards the best choice for their business growth. Compliance and Security Built-in compliance features (archiving, disclosures). Custom UX boosts user engagement.

Financial Advisor 52

Financial Advisor Compliance Budgeting Professional Services 52

Diamond Consultants

FEBRUARY 11, 2025

For the purpose of this article, we will refer to all of these as Supported RIAs. This approach removes compliance responsibility from the advisors plate and offloads most middle- and back-office functions, including billing and technology. For some, affiliating with an RIA provides all the autonomy and flexibility they need.

Compliance 52

Compliance Clients Management Investing 52

Trade Brains

JUNE 15, 2025

It offers a comprehensive range of HR services, including staffing solutions (temporary and permanent), payroll processing, regulatory compliance, vocational training, and assessments. Trade Brains Technologies Private Limited or the author are not liable for any losses caused as a result of the decision based on this article.

Healthcare 66

Healthcare Insurance Recruitment Transportation 66

The Big Picture

APRIL 6, 2023

I see all of the Google News headlines about the firm and its employees; I read every article about everything we do as a company. We have regulatory and compliance obligations around what we say and do in public, and we do our very best to make sure that what we put out is accurate.

Wealth Management 278

Wealth Management Portfolio Management Clients Portfolio 278

Nerd's Eye View

JULY 8, 2024

Given the continuing growth of advicers who fall under these new IAR CE Requirements, the Kitces platform is not only continuing to offer IAR CE (along with all of its other CE types) through its Nerd's Eye View blog articles, but, starting this year, has also expanded IAR CE eligibility to our webinars as well.

Ethics 239

Ethics Education Financial Advice Communication 239

Sara Grillo

FEBRUARY 23, 2024

Question from a subscriber: “Compliance is impossible to get my content through. My financial advisor compliance department take forever and nitpick every little thing!” If you steer clear of the obvious violations, it’s actually pretty easy to get your content approved by your compliance officer.

Compliance 52

Compliance Financial Advisor Media Clients 52

Harness Wealth

MARCH 27, 2025

In this article, well examine PTET in some detail, and highlight PTETs advantages and disadvantages for small businesses. Simplified tax filing PTET’s consolidation of state tax payments streamlines administrative processes and minimizes compliance costs.

Taxes 52

Taxes Compliance Consulting Financial Planning 52

Harness Wealth

MAY 8, 2025

This article aims to provide a comprehensive overview of how taxes apply to an LP, helping business owners and investors navigate the nuances effectively. Understanding these requirements is essential to maintain compliance and optimize tax outcomes. The IRS closely monitors partnerships to ensure proper reporting and compliance.

Taxes 52

Taxes Tax Planning Compliance Planning 52

Sara Grillo

JULY 12, 2024

Question from a subscriber: “ I want to start writing articles as a guest blogger to attract new clients. Follow the publication for a while to get a sense of what types of articles they publish. Then contact the editor-in-chief and pitch an article. If they take guest articles, usually they will state this on the website.

Compliance 98

Compliance Media Consulting Clients 98