Alternative Investments in 401(k)s?

May 6, 2021 | Company

The U.S. Labor Department has loosened the rules about 401(k) retirement savings plans, allowing a private equity component, aka, alternative investments. 401(k) plans can now more safely offer certain funds with a private equity component to their employees. Before...

Compliance- New Regs for 2021

Apr 29, 2021 | Company

Like every new year, 2021 has brought some new regulations for advisory firms. Here are two significant regs that may impact your firm this year: Advertising and testimonials. Near the end of December of 2020, the SEC announced that it had modernized its rules on...

Reg BI: Are we ready? How will it affect firms?

Apr 23, 2021 | Company, Industry

Reg BI, short for Regulation Best Interest, was implemented by the SEC in 2019. FINRA enforces the rule. However, once again, Reg BI is at the center of discussion. Many parts of the rule, including precisely what best interests’ means, are a bit vague. The rule...

Tax Analysis

Apr 15, 2021 | Company

In managing your client’s portfolios, there are numerous tax-related scenarios that require monitoring throughout the year. Your firm’s ability to monitor and set alerts for tax-related transactions dramatically improves the efficiency in managing your...

Should Advisors be Classified as Employees?

Apr 8, 2021 | Company

The recent passage of The PRO Act by the U.S. House of Representatives has brought the issue of whether financial advisors are employees or independent contractors into the spotlight. The Senate will consider this legislation as part of President Biden’s broader...

Tracking Variance Analysis

Apr 1, 2021 | Company

The investment strategy that you design and implement for your clients typically includes a target asset allocation. Beyond this, you monitor how a household is tracking against a target allocation among several accounts or different clients within that household. You...