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Anatomy Of An RIA Sale, Merger Or Acquisition: 5 Important Legal & Compliance Steps

Nerd's Eye View

In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, discusses in depth the various stages of buying, selling, and merging an investment advisory and financial planning business.

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Tax Compliance and Risk Management: Navigating Complex Tax Environments

Carson Wealth

Understanding Tax Compliance and Risk Management Ultra-high-net-worth individuals face unique tax challenges, including high rates and ever-changing complex tax codes. Navigating these tax issues can be incredibly complex, necessitating a comprehensive compliance and risk management plan. In fact, in 1963, the top rate was 91%.

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Adviser links: humble projections

Abnormal Returns

investmentnews.com) Compliance There's no winning the cybersecurity war, just stalemate. financial-planning.com) Advisers don't like spending time on administrative and compliance issues. wealthmanagement.com) Laurence Kotlikoff on the gulf between conventional and economics-based financial planning.

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Market Commentary: S&P 500 Approaching All-Time High but US Economic Momentum Slowing

Carson Wealth

US LEI Deteriorates Right now, our proprietary US Leading Economic Index (LEI) is telling us that economic momentum is slowing and the economy is growing below trend. This was in sharp contrast to all the recession calls you saw in 2022 and 2023, including signals from other popular leading economic indicators.

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It’s Crunch Time For Many Policyholders

Wealth Management

What’s more, they’ll know that in light of today’s political and economic conditions and circumstances, they’ll have far more success with clients if they position the “explore the options” project in terms of current and projected cash flow savings rather than future estate tax savings or liquidity. Number 8860726.

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The Future Of Advisor Platforms: Reducing Overhead Costs With Services (Not Technology)

Nerd's Eye View

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.

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Importance of Compliance

Truemind Capital

We being a SEBI-regulated entity very well understand the importance of regulatory compliance. It’s an efficient way of blocking shady operators/hawala money from getting into the system and being used for activities that can threaten the economic, social, and financial stability of the country.