Nerd's Eye View
JULY 7, 2023
Also in industry news this week: A recent survey indicates that a strong majority of financial advisory clients have maintained their trust in their advisors despite the investment market setbacks experienced last year A report from the SEC shows that a majority RIAs have mandatory arbitration clauses in their client agreements, a practice that has (..)
Nerd's Eye View
MAY 12, 2023
Also in industry news this week: Why industry groups representing investment advisers and others have blasted an SEC proposal that would significantly expand its Custody Rule A new study suggests that organic client growth and profit margins are the key factors driving RIA valuations, with the firm’s affiliation model having little to no impact (..)
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CFO News Room
NOVEMBER 30, 2022
And the consequences for incorrect tax advice can include legal and financial penalties if a client were to be harmed by the wrong advice – which is often not covered by the firm’s E&O insurance –creating an expensive liability when tax advice goes wrong.
CFO News Room
DECEMBER 23, 2022
While RIA M&A activity has been red hot during the past couple of years, a survey suggests that advisors are expecting lower valuations in 2023. From there, we have several articles on advisor marketing: Five tactics advisors can use to make the most of the online referrals they receive. and 2.0%, respectively, over the last five years.
CFO News Room
DECEMBER 17, 2022
How firms can best leverage their internal data to improve the number of client referrals they receive. We also have a number of articles on retirement planning: While weak stock and bond market performance has challenged advisors and their clients this year, these trends have likely increased the ‘safe’ withdrawal rate for new retirees.
Musings on Markets
MAY 11, 2021
For dividends, since about 37% of equities are held by tax exempt investors (pension funds) that pay no taxes, I will assume that the remaining 63% pay taxes). As capital gains and dividend tax rates are changed, the changes percolate through into expected returns and risk premiums, and through those into value.
CFO News Room
NOVEMBER 8, 2022
And the four pillars are the financial plan, risk management, so just checking all their what-if scenarios that something…a husband dies, wife dies, long-term care, disability. And then we look at estate planning. And then in the fall, we look at tax planning. And so, that can move the numbers, as well.
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