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What's unique about Fran, though, is how she decided to transition from the independent broker-dealer model to a 'supported independence' corporate RIA platform in order to avoid the compliance headaches involved in being a totally independent RIA while reducing the drag of platform fees on her firm's profitability by finding a platform that wouldn't (..)
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The group is the latest sign of the Board’s focus on AI; last month, it released an AI-assisted test prep course and unveiled compliance checklists for advisors using Gen AI earlier this year.
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youtube.com) Michael Kitces talks compliance with Leila Shaver, founder of My RIA Lawyer. Podcasts Michael Batnick talks with Tim White and Danny Lohrfink of Wealth.com about trends estate planning. kitces.com) Josh Brown and Nick Sapienza break down a real-life case study of couple with $3 million in assets and a desire to retire.
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Managing this process effectively is crucial for retaining clients and ensuring compliance. If you're an established financial advisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns.
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Which, if implemented under the new administration, could provide relief for investment advisers, particularly smaller firms that already have to balance compliance with client service, marketing, and the other duties that go into running a firm.
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Compliance-Approved Materials: The tool’s resources are checked by compliance professionals. It helps advisors focus on providing value to clients without worrying about compliance issues. This gives advisors useful content to share, covering many financial topics and planning strategies.
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He will share real-world examples of errors, compliance issues, and risks that may be present within your spreadsheets. Join this insightful webinar with industry expert Abdi Ali, who will discuss the challenges that can arise from managing lease accounting with spreadsheets!
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