Think FATCA Requirements Only Apply to Foreign Entities? Think Again
U.S. individuals and entities with foreign financial assets may be required to file Form 8938 with the IRS.
Court Rules There's No 180-Day Limit on SEC Investigations
An appellate court has agreed with the SEC’s self-serving interpretation that Dodd-Frank's 180-day Wells notice limit was not an enforceable limit at all.
Robo-Advisors: 3 Signs You’re at Risk; 3 Ways to Respond
The parallels between the dot-com craze and today’s robo-advisors are many. We debunk claims, list which advisors are vulnerable and remind you of your advantages.
Summer Is an Ideal Time for Strategic Planning
Summer is the ideal time for owner-advisors to start getting their firms, and themselves, ready to grow.
The Case for Charging Both AUM and Flat Fees
Rather than an either/or solution, Deborah Fox's "AUM plus fees for specific services" model provides value to clients while smoothing the advisory firm's revenue stream.
So Far, I'm a Happy Customer of Redtail
Due to my initial experience with my new CRM provider, Redtail, I'm one happy customer, but you should do a cost-benefit analysis before deciding.
Compliance Data Analytics: Do as Regulators Say AND as They Do
Financial services firms should follow the lead of the SEC and FINRA and use more sophisticated technology tools to improve their compliance programs.
4 Ways to Strengthen BICE in DOL’s Fiduciary Rule
The Labor Department’s proposed rule is historic and can be improved by industry suggestions, as long that input doesn’t weaken the rule.
Clients Are Financially Savvy, and Other Myths
Reminders on why charging fees based on assets under management is by far the most client-centered form of advisor compensation.
Postcards From the Edge: 7 Things I Learned From My Merger
Over the years, I’ve helped many advisors merge their firms, but there’s nothing like actually doing it yourself to get a whole new perspective.