Remove Compliance Remove Numbers Remove Valuation
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Weekend Reading For Financial Planners (February 1–2)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that following the change of administration (and a new incoming chair of the SEC), the Investment Adviser Association is seeking to find ways to help RIAs (particularly smaller firms) manage the compliance responsibilities they (..)

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Weekend Reading For Financial Planners (January 4–5)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with a recent survey indicating that a majority of advisors are viewing new client acquisition as their primary challenge in the current competitive environment for financial advice (followed by compliance and technology management) and suggests (..)

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Weekend Reading For Financial Planners (March 15–16)

Nerd's Eye View

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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The Power of the Midyear Gut Check

Wealth Management

Number 8860726. Are you battling compliance friction or is bureaucracy slowing you down? • Registered in England & Wales with number 01835199, registered office 5 Howick Place, London, SW1P 1WG. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales.

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The Latest In Financial #AdvisorTech (November 2023)

Nerd's Eye View

This month's edition kicks off with the news that Practice Intel has launched a new "growth platform" centered around quantifying the quality of an advisor's client relationships with an all-in "Relationship Quality Index" (RQI) – which while potentially valuable in helping advisors understand and improve their client experience (and subsequently (..)

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David DeVoe on the State of RIA M&A and How to Maximize Your Firm’s Valuation

Steve Sanduski

In a nutshell: RIA valuations are high. But the number one driver of these trends isn’t aging founders and succession planning. Do you want to control the whole compliance part of the business? The post David DeVoe on the State of RIA M&A and How to Maximize Your Firms Valuation appeared first on Steve Sanduski.

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What Triggers an IRS Audit?

Harness Wealth

The people who undergo an audit have been selected due to a number of red flags that the IRSs computer-based system has detected. An IRS audit is a formal review of your financial records to verify their accuracy and compliance with tax laws. While FinCEN handles FBAR filings, the IRS enforces compliance for both.