Nerd's Eye View

JULY 25, 2023

What's unique about Rita, though, is how as the founder of one of the first woman-owned Super-OSJs nearly 30 years ago, she has witnessed first-hand the evolution of the Super-OSJ model from providing local oversight of brokers selling proprietary products, into back-office platforms that provide an increasingly open-architecture product shelf coupled (..)

Financial Advisor 246

Financial Advisor Compliance Recruitment Insurance 246

Nerd's Eye View

JUNE 26, 2023

For a firm owner who expects the sale to make their life simpler, the enormous project of transitioning can often be the opposite of what they expect. Second, once the merger is complete, firm owners often discover that the culture of the new firm clashes with their expectations.

Compliance 246

Compliance Sales Planning Media 246

Wealth Management

JUNE 20, 2025

Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all handshake hurdles M&A Understanding the Client Retention Hurdle in RIA Sales Understanding the Client Retention Hurdle in RIA Sales by Derek (..)

Wealth Management 135

Wealth Management Management Financial Advisor Estate Planning 135

Nerd's Eye View

JUNE 21, 2023

In addition to collecting the required reports, the firm’s Chief Compliance Officer (CCO) also has certain review requirements.

Ethics 244

Ethics Fiduciary Duty Compliance Clients 244

The Big Picture

AUGUST 26, 2022

Doing this puts the probabilities more on their side, with the bonus that fewer regulatory headaches, legal liability, and compliance issues occur – they more or less go away if you manage this kind of model properly. Now if only the Sell-side would get religion about fiduciary standards, I would stop hating on them so much.

Accounting 353

Accounting Government Assets Management 353

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

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

Wealth Management

JUNE 10, 2025

Related: Four Key Questions to Help Unlock the Value of Your Practice This is certainly not a sales pitch for making a move. Are you battling compliance friction or is bureaucracy slowing you down? Number 8860726. In fact, for many advisors, the right next step is to recommit to their firm.

Wealth Management 135

Wealth Management Financial Advisor Management Recruitment 135

Nerd's Eye View

JANUARY 1, 2024

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: JPMorgan has announced plans to shut down its robo-advisor offering after just four years, highlighting broadly the challenges of robo-advisors to overcome the challenging economics of acquiring and serving small clients, and in (..)

Retirement Planning 246

Retirement Planning Startup Clients Compliance 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 5, 2023

This month's edition kicks off with the news that Riskalyze has completed its previously-announced rebranding, and will now be known as “Nitrogen”, a ”growth platform” for advisory firms – which represents less of a shift in the platform’s core function (given that Riskalyze’s risk tolerance tool was always (..)

Risk Tolerance 245

Risk Tolerance Retirement License Retirement Planning 245

Indigo Marketing Agency

FEBRUARY 19, 2025

Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business In the mid-2000s, digital marketing was just one of many mediums local businesses were starting to utilize to growalong with newspaper ads, phone book ads, direct mail ads, radio and TV ads, billboards, door-to-door sales, and more.

Financial Services 59

Financial Services Financial Planner Advertising Financial Advisor 59

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

Nerd's Eye View

SEPTEMBER 26, 2023

What's unique about Bridget, though, is how, as a solo advisor, she found herself overwhelmed with the pressures of having to manage different aspects of her business while also providing great service to her clients as she quickly grew to $77M of AUM in 7 years, and has decided to not to "scale" her firm by hiring more advisors but instead leverage (..)

Financial Planning 246

Financial Planning Financial Advisor Clients Planning 246

Diamond Consultants

FEBRUARY 11, 2025

This approach removes compliance responsibility from the advisors plate and offloads most middle- and back-office functions, including billing and technology. For example, since the RIA owns compliance, they have the final say over whether to approve a new alternative investment offering.

Compliance 52

Compliance Clients Management Investments 52

Harness Wealth

APRIL 16, 2025

Installment sales offer a compelling option by spreading capital gains recognition across multiple years, potentially keeping you in lower tax brackets throughout the payment period and improving your overall after-tax returns. tax incentives for small businesses and investors, providing tax benefits on the sale of shares.

Taxes 52

Taxes Tax Planning Startup Compliance 52

Harness Wealth

APRIL 30, 2025

Key takeaways Begin exit planning 23 years prior to the intended sale to implement optimal tax strategies and structural changes that can save millions through proper entity selection, transaction timing, and specialized approaches. Stock sales tend to be more tax-advantageous for sellers, especially when capital gains treatment applies.

Taxes 52

Taxes Planning Tax Planning Sales 52

Nerd's Eye View

MAY 22, 2024

This latter exemption means that financial advisors with an ownership interest in their company (even a very small one) could still be subject to a non-compete as a term of the sale of their stake (which could impact how they value receiving an ownership interest in their firm).

Financial Advice 246

Financial Advice Commission Clients Sales 246

Trade Brains

JUNE 16, 2025

It achieved record domestic sugar sales of 5.9 The company also reported an all-time high average sales realization of Rs 38/kg. Domestic sales rose by 22%, from 1.1 Lakh MT in Q4 FY25, while export sales doubled to 0.1 Non-compliance with these regulations may pose operational risks for the company. LMT in FY24.

Retail 59

Retail Sales Portfolio Certification 59

Indigo Marketing Agency

SEPTEMBER 28, 2024

Lack of a Sales Funnel Simply sharing content isn’t enough to turn a casual viewer into a client. What’s missing is a bona fide sales funnel that systematically guides prospects from curiosity to interest and ultimately to conversion. What are the best practices for compliance in social media for financial advisors? We Can Help.

Financial Advisor 95

Financial Advisor Media Compliance Sales 95

Harness Wealth

MARCH 27, 2025

There are many reasons for LP sales, but some include an LP seeking liquidity or an exit from a fund thats underperforming. GP-led secondaries can also encompass “stapled transactions” where the sale of the existing fund interest is linked to an allocation in a new fund managed by the same GP. property interests.

Taxes 52

Taxes Tax Planning Assets Compliance 52

Nerd's Eye View

JUNE 4, 2024

In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Nerd's Eye View

JUNE 4, 2024

In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Carson Wealth

OCTOBER 23, 2023

Retail and food service sales have increased at an 8.6% The September retail and food services sales data underlined the economy’s momentum. Overall retail sales and food services rose at an annualized pace of 8.6% Restaurant and bar sales rose at a 9.6% annualized pace over the last three months. in the third quarter.

Marketing 143

Marketing Marketing Economy Retail 143

Harness Wealth

JANUARY 29, 2025

What is the wash-sale rule? The aim is to find investments that have declined in value since purchase, making them suitable for sale. Of these regulations, investors need to pay particular attention to the wash-sale rule. What is the wash-sale rule? Table of Contents What is tax-loss harvesting?

Taxes 52

Taxes Assets Sales Portfolio 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

Harness Wealth

APRIL 28, 2025

While 1099-B forms focus on reporting gross proceeds from sales, K-1s typically provide both gross sales amounts and adjusted basis information. State tax compliance often suffers when filing requirements triggered by out-of-state partnerships are overlooked. Tax related products and services provided through Harness Tax LLC.

Tax Planning 52

Tax Planning Distribution Taxes Compliance 52

Harness Wealth

NOVEMBER 12, 2024

While it’s not always advisable to sell investments at a loss, it may make sense in your situation to consider selling underperforming assets, especially if you’re willing to invest in alternative assets that provide similar exposure without triggering a wash sale. What is the Lifetime Gift Tax Exemption? million ($27.22

Tax Planning 52

Tax Planning Taxes Planning Estate 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

Diamond Consultants

JUNE 17, 2025

This is certainly not a sales pitch for making a move. Are you battling compliance friction or is bureaucracy slowing you down? In fact, for many advisors, the right next step is to recommit to their firm. But giving yourself permission to evaluate your environment objectively is essential for long-term success.

Recruitment 52

Recruitment Clients Compliance Sales 52

Trade Brains

NOVEMBER 4, 2024

About Sagility India IPO Sagility India India Limited is set to launch its Initial Public Offering (IPO) which consists of an offer for sale of Rs. These shares will be sold as a whole part of the offer-for-sale of the IPO. Here we have Sagility India which is into U.S. per equity share. Sagility B.V.

Healthcare 52

Healthcare Clients Insurance Management 52

Midstream Marketing

OCTOBER 31, 2024

This leads to more sales and better returns on investment (ROI). Email Marketing: Build relationships and increase sales through targeted email campaigns. Compliance and Regulatory Advertising Standards The financial services industry has many rules. Businesses must follow these advertising rules.

Consulting 52

Consulting Financial Market Marketing Marketing 52

Carson Wealth

AUGUST 19, 2024

Recession Narrative Fades on Strong Retail Sales As long as employment is strong, consumer spending will be strong. Those numbers were the underpinning of a large upside surprise in July retail sales. Headline retail sales came in at 1.0% Headline retail sales came in at 1.0% versus a 0.2% consensus expectation.

Retail 96

Retail Marketing Marketing Sales 96

Carson Wealth

JULY 3, 2024

Proper tax planning can save your business money and ensure compliance with regulations. Create Succession and Exit Plans Having a clear succession or exit plan ensures the continuity of your business in the event of retirement, sale, or unforeseen circumstances. All taxpayers are required to meet Tax Safe Harbor.

Financial Planning 142

Financial Planning Planning Retirement Planning Tax Planning 142

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. You can increase engagement and boost sales by dividing your email list into different groups. A lot of clients use these devices.

Marketing 52

Marketing Marketing Media Engineering 52

Harness Wealth

JANUARY 10, 2025

Gains or losses from these sales are taxed as capital gains, either short-term or long-term, depending on how long the cryptocurrency was held. When striving to stay compliant, its important to maintain detailed records of all cryptocurrency transactions, including purchase price, sale price, and dates. No, you dont.

Taxes 52

Taxes Assets Media Education 52

Trade Brains

JUNE 12, 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. It plays a key role in India’s power sector, enhancing transparency and efficiency in electricity procurement and sales.

Banking 52

Banking Retail Electronics Government 52