Abnormal Returns

APRIL 28, 2025

kitces.com) This SEC proposal would make for a boom for compliance consultants. (riabiz.com) Advisers Why financial planners are disincentivized from taking on short term engagements. obliviousinvestor.com) Clients who are nearing, a year so, retirement have unique needs. riabiz.com) The strategy behind Robinhood Strategies.

Financial Planner 144

Financial Planner Compliance Investment Advisor Consulting 144

Wealth Management

JUNE 10, 2025

I have a variety of individuals that I'm constantly in consultation with." Number 8860726. " Smith, who went from a zero-star high school recruit to Heisman Trophy-winning quarterback and No.

Wealth Management 244

Wealth Management Management Estate Planning Business Planning 244

The Big Picture

APRIL 15, 2023

He is an entrepreneur, attorney, consultant, and advocate for independent investment advisers, which is a $97 trillion industry. Be sure to check out our Masters in Business next week with Brian Hamburger, founder of MarketCounsel and Hamburger Law Firm.

Consulting 284

Consulting Compliance Assets Management 284

Abnormal Returns

JULY 22, 2024

standarddeviationspod.com) Michael Kitces talks with Christi Van Rite who is the Founder of White River Consultants, a firm that provides administrative family office services to 17 ultra-high-net-worth households. fastcompany.com) Advisers Off-channel communications surpassed marketing as the leading compliance concern for RIAs.

Compliance 261

Compliance Retirement Communication Consulting 261

Nerd's Eye View

JUNE 18, 2025

The broader concern is that giving actionable tax advice can expose advisors to legal and financial liability, especially since RIA compliance policies and E&O insurance typically only cover investment advice.

Taxes 130

Taxes Tax Planning Communication Planning 130

Carson Wealth

MAY 7, 2025

According to a report from the consultancy Altrata , charitable contributions from ultra-high net worth individuals increased by almost 25% between 2018 and 2022 , illustrating a growing trend of philanthropic engagement. Its important to consult with an advisor. The use of trusts involves a complex web of tax rules and regulations.

Compliance 52

Compliance Distribution Taxes Consulting 52

The Big Picture

APRIL 22, 2023

 This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters.

Compliance 299

Compliance Wealth Management Consulting Management 299

Wealth Management

JUNE 10, 2025

Louis Diamond , CEO, Diamond Consultants June 10, 2025 4 Min Read As summer approaches, it’s easy to drift into vacation mode. Are you battling compliance friction or is bureaucracy slowing you down? • Number 8860726. But before doing so, remember that it’s also the halfway point of 2025—the perfect time for a midyear gut check.

Wealth Management 137

Wealth Management Financial Advisor Management Recruitment 137

MainStreet Financial Planning

NOVEMBER 8, 2024

Consult with a tax professional to navigate the complexities and avoid wash-sale rules. Always consult with a tax professional, ( we happy to help you as well ) to tailor these strategies to your personal circumstances and ensure compliance with current tax laws.

Taxes 98

Taxes Medical Education Retirement 98

Nerd's Eye View

MARCH 13, 2023

In practice, support services from advisor platforms might include a wide range of consulting services – from compliance to an advanced planning team, operations to technology – that advisors could engage for a fee as needed.

Compliance 245

Compliance Portfolio Management Planning Financial Planning 245

Trade Brains

JUNE 11, 2025

RBI requires all such NBFCs to be listed within three years, making the September 2025 deadline crucial for compliance. Please consult your investment advisor before investing. HDB Financial Services must go public as a regulatory mandate, being categorized under the “Upper Layer” of NBFCs per RBI’s October 2022 circular.

Electronics 85

Electronics Engineering Financial Services Sales 85

Wealth Management

JUNE 11, 2025

But Here’s the Rub A comprehensive discussion along the lines suggested in the article I posted will require a lot of work by the agent, including all the data gathering, consultation with advanced planning attorneys, coordination with other advisors, presentation preparation, etc. Number 8860726.

Wealth Management 155

Wealth Management Insurance Estate Planning Clients 155

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. This allows financial consultants to concentrate on their core strengths. This helps the right communications reach clients at the right time.

Compliance 52

Compliance Financial Advisor Clients Communication 52

Harness Wealth

APRIL 30, 2025

An IRS audit is a formal review of your financial records to verify their accuracy and compliance with tax laws. You should consider using tax preparation software or consulting with a tax professional. The IRS carefully scrutinizes these deductions to ensure compliance with strict valuation and documentation requirements.

Compliance 52

Compliance Taxes Accounting Consulting 52

Nerd's Eye View

JULY 18, 2023

Nancy is the Founder and CEO of Smarter Divorce Solutions, a consulting firm based in Phoenix, Arizona that provides financial expertise to individuals and couples (and sometimes, mediators and attorneys) going through the divorce process. Welcome back to the 342nd episode of the Financial Advisor Success Podcast !

Financial Planning 230

Financial Planning Planning Financial Advisor Financial Planner 230

Midstream Marketing

NOVEMBER 26, 2024

These methods include using technology, content marketing, and strategies that follow compliance rules. This includes using content marketing and sticking to compliance rules. They interact with different clients and have their own rules for compliance. By partnering with compliance experts, they can lower risks.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Midstream Marketing

DECEMBER 26, 2024

With this platform, consultants can use many helpful features. By sending information that is timely, relevant, and personal, consultants can build strong relationships based on trust. This helps consultants provide clients with helpful information that meets their financial goals.

Marketing 52

Marketing Marketing Communication Advertising 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. Please consult your investment advisor before investing. Investors must therefore exercise due caution while investing or trading in stocks.

Healthcare 66

Healthcare Insurance Recruitment Transportation 66

Harness Wealth

MARCH 27, 2025

Consider conducting thorough research and consultation with an experienced tax professional in order to maximize tax liabilities and remain compliant. 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

MARCH 14, 2025

Without a secure system in place, firms face the risk of hacked email accounts, lost or misplaced documents, and even compliance violations with the IRS and financial regulations. With compliance safeguards built-in, firms no longer need to worry about unsecured email attachments or misplaced documents.

Taxes 52

Taxes Compliance Tax Planning Clients 52

Harness Wealth

MAY 8, 2025

Whether you are contemplating forming an LP or already operate one, gaining clarity on tax matters can optimize your financial outcomes and ensure compliance with state and federal regulations. Understanding these requirements is essential to maintain compliance and optimize tax outcomes.

Taxes 52

Taxes Tax Planning Compliance Planning 52

Diamond Consultants

JANUARY 21, 2025

Advisors regularly get calls from recruiters, consultants, branch managers, complex directors, business development officersthe list goes on and on. One low-stakes option is via periodic passive due diligence: researching online, networking with colleagues, discussions with industry recruiters and consultants, etc.

Recruitment 52

Recruitment Compensation Planning Clients Consulting 52

Carson Wealth

JULY 3, 2024

Proper tax planning can save your business money and ensure compliance with regulations. Consulting a tax advisor or attorney can help develop strategies for minimizing tax liability and staying compliant. Consulting a financial advisor can help you optimize your retirement plan based on your financial goals.

Financial Planning 142

Financial Planning Planning Retirement Planning Tax Planning 142

Nerd's Eye View

OCTOBER 17, 2024

By pairing with a partner in the firm's early days, advisors can benefit from their business partner not just by having someone to split costs and risks with, but also to consult with as a sounding board and strategic partner across the highs and lows of launching a business.

Compliance 130

Compliance Communication Consulting Management 130

Trade Brains

JUNE 6, 2025

” WazirX expressed disappointment but pledged compliance. The company consults legal teams about an appeal. Conversely, hack victim Romy Johnson praised the ruling. They saw it as a “moral reckoning.” It prioritises distributing user funds. Meanwhile, liquidation remains a risk under Singapore law.

Distribution 52

Distribution License Compliance Planning 52

Inside Information

JANUARY 31, 2025

In one of my periodic e-messages to my mailing list (more than 8,000 advisors currently) I repeated a complaint that I constantly hear from Joel Bruckenstein and other leading tech consultants. My take is that its become too easy for the software companies and consultants to complain about slow tech adoption in the advisor marketplace.

Risk Tolerance 40

Risk Tolerance Consulting Estate Planning Tax Planning 40

Harness Wealth

DECEMBER 30, 2024

The key differences between 83(i) and 83(b) elections The benefits and risks of an 83(i) election The eligibility criteria for an 83(i) election How to file an 83(i) election 83(i) compliance requirements for companies Is an 83(i) election right for you? What is an 83(i) election?

Taxes 52

Taxes Compliance Compensation Planning Financial Advisor 52

Sara Grillo

JULY 12, 2024

Make sure you clarify to the publication that you will need additional time for your compliance to approve the copy before it is published. Compliance will have to review the proposed changes before you send the final draft. Make sure you can include a byline.

Compliance 98

Compliance Media Consulting Clients 98

Steve Sanduski

JUNE 3, 2025

Guest: David DeVoe , Founder and CEO of DeVoe & Company , a leading consulting and investment banking firm serving the RIA industry. Do you want to control the whole compliance part of the business? In a nutshell: RIA valuations are high. Private equity is everywhere. Industry consolidation is accelerating. ‘Yes, Dave.

Valuation 52

Valuation Consulting Compliance Education 52

Nerd's Eye View

MAY 28, 2024

In this episode, we talk in-depth about how Jenny and her partner grew their firm from $19 million to $250 million of assets under management in just 7 years, thanks in large part to investing in a professionally designed website that highlighted their status as a women-run fee-only financial planning firm, how Jenny felt an increasing burden of operational (..)

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Sara Grillo

DECEMBER 16, 2024

Today I have Brian Williams of Northshire Consulting and were going to be talking about how financial advisors can help improve 401k plan access to the American people who are working at small businesses who currently do not offer them. Instead of trying to pitch lower fund fees or compliance, strike them in the heart.

Financial Advisor 52

Financial Advisor Consulting Planning Retirement Planning 52

Nerd's Eye View

MAY 28, 2024

In this episode, we talk in-depth about how Jenny and her partner grew their firm from $19 million to $250 million of assets under management in just 7 years, thanks in large part to investing in a professionally designed website that highlighted their status as a women-run fee-only financial planning firm, how Jenny felt an increasing burden of operational (..)

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Trade Brains

JUNE 17, 2025

The decision to exclude a stock from F&O contracts can be based on various factors, including low liquidity, high volatility, or non-compliance with regulatory requirements. Please consult your investment advisor before investing. Investors must therefore exercise due caution while investing or trading in stocks.

Retail 52

Retail Banking Manufacturing Consulting 52

Trade Brains

JUNE 18, 2025

The training will focus on equipping the leaders with the knowledge and skills that are needed to effectively manage cyber risks, ensure compliance with legislation, and foster a culture of cyber resilience within their organisation. Please consult your investment advisor before investing.

Healthcare 59

Healthcare Compliance Engineering Investment Advisor 59

Sara Grillo

MAY 31, 2024

sigh) Take these actions TODAY: There are very specific rules about how to actively solicit a Google review, from a compliance perspective. Ask your compliance officer or lawyer. And by the way, remember to consult with your compliance officer or lawyer before taking any actions regarding Google reviews.

Financial Advisor 59

Financial Advisor Clients Compliance Consulting 59

Indigo Marketing Agency

SEPTEMBER 28, 2024

This could involve offering a lead magnet, such as an e-book or a consultation, which captures the prospect’s contact information and triggers a series of targeted follow-up emails. What are the best practices for compliance in social media for financial advisors?

Financial Advisor 95

Financial Advisor Media Compliance Sales 95

Midstream Marketing

DECEMBER 6, 2024

Compliance and Security for RIAs Compliance and data security matter a lot in the financial services industry. By focusing on compliance and security, you can earn your clients trust. This helps readers know what to do next, like visiting your website, setting up a consultation, or downloading something useful.

Marketing 52

Marketing Marketing Media Engineering 52