Approved IAR CE Courses

This course examines the key components of building a defensible alternative investment program within a registered investment advisory firm. Participants will explore governance frameworks, due diligence processes, portfolio integration, and regulatory expectations that support consistent and well-documented investment decisions. The course also discusses practical approaches to developing repeatable policies and procedures that strengthen fiduciary oversight and risk management. Real-world examples highlight common deficiencies observed during regulatory examinations and strategies for addressing them. By the end of the session, participants will be better equipped to evaluate their firm's alternatives program and identify opportunities for improvement.

This course examines the evolving advisory landscape, focusing on recent tax legislation, developments in alternative investments, and the growing role of AI in financial services. Participants will review significant regulatory and market changes that may influence investment planning, due diligence, and client recommendations. This course also explores practical considerations for evaluating tax strategies, alternative investment opportunities, and emerging technology within an advisory practice

This course will address core compliance considerations for Investment Adviser Representatives (IARs) contemplating buying or selling a client list or an investment adviser entity. The course will cover essential topics including fiduciary duties, regulatory requirements, and best practices for seamless transitions. Participants will gain insights into federal and state laws, privacy and confidentiality concerns, and the importance of due diligence. The course will also explore various types of transactions, such as asset purchases and mergers, and their compliance implications. By the end of the session, attendees will be equipped with the knowledge to manage client relationships ethically and effectively during the sale or purchase process.

If you spend any time on the internet or watching the news, you will be bombarded with doom and gloom. In this webinar, Michael Finke makes the case for optimism. In his research, Michael has found that optimism helps people to invest more in the present with expectations of payoffs in the future in the realms of health, relationships, and personal finances, setting clients up with a higher chance of a happier retirement. Additionally, optimism can help clients be resilient when faced with inevitable setbacks in life and in their investments. However, overoptimism can negatively affect financial behaviors like risk tolerance. Finke uses this research to explain how advisors can work best with optimistic clients and encourage optimism in clients that tend to have a more pessimistic outlook.

This course provides an overview of tax-planning strategies that can be used with real estate investments and development. Participants will explore the real estate development J-Curve, Roth conversion strategies, and Opportunity Zone investments, including the potential benefits of fair market value treatment. The course also covers the risks associated with these strategies and ways advisors can help clients evaluate and manage those risks. Through examples and case studies, participants will see how these strategies may be incorporated into broader client planning. By the end of the course, participants will be able to identify key tax-planning opportunities, evaluate potential risks, and determine when these strategies may be appropriate for a client.

This course will discuss ethical challenges and fraudulent activities that investment advisers may face. It will discuss ethical obligations and case studies of moral failures, fraud, scams, and schemes in the financial services industry.

The compliance regulations that RIAs are subject to can and do evolve over time, as markets and platforms change, and regulators update their own rules accordingly. In this session, compliance attorney Chris Stanley will address the latest changes in regulations for RIAs and their IARs, covering five critical topics: FinCEN Beneficial Ownership Reporting, FTC Non-Competes, SEC Marketing Rule Enforcement Actions, Custody Rule Triggers and Reporting, and the SEC's Reg S-P Rule Amendments, to help financial advisors ensure they stay compliant with the evolving regulatory landscape.

This course provides the insurance producer with an extensive review of life & health insurance and the processes as it relates to insurance products followed by more advanced level concepts and examples. It delves into a discussion on the important ethical updates followed by a broad assessment, including case studies, of the ethical and fiduciary responsibilities of an insurance producer.

Client expectations continue to expand. Clients are looking for deeper financial planning across a range of facets of their financial lives and expect to receive these services without increasing their fees. This puts advisors in a difficult position.

In this session from Michael Rose, Director of Wealth Management at Cerulli Associates, we will explore the evolving financial planning landscape: what clients are looking for, what advisors currently offer, and what new services are gaining traction in the industry.

The session will utilize quantitative and qualitative data from Cerulli Associates research to provide attendees with a clear understanding of the state of the industry, and areas that they should consider exploring within their own financial planning practices. The session will also address the rise of artificial intelligence (AI) solutions, and areas that advisors are currently leveraging these tools within their practices.

The session will cover how the services offered by firms may differ depending on factors like firm size and resources, as well as the impact that offering expanded services could have on firm growth. As a part of this conversation, Michael will address some of the common pain points advisors may experience when trying to expand their offerings, and key learnings from advisors that have effectively implemented these expanded services.