Approved IAR CE Courses

This month, we review November blog articles. This quiz includes the following articles: Effective Implementation Of A Backdoor Roth Strategy: Detailed Nuances, IRS Form 8606 (And When It's Even Worth Doing); Anatomy Of An RIA Sale, Merger Or Acquisition: 5 Important Legal & Compliance Steps; and Advice Engagement Tools For A More Dynamic VIP (Visualization, Interaction, and Process) Planning Experience.

Within every financial advisor's practice, certain tasks have always been time-consuming, thereby constraining the efficiency of other essential duties. These include preparing for client meetings, constructing financial planning proposals, and addressing general client inquiries. As these tasks continue to grow rapidly, they become not only a drain on time but also a financial burden. While various technologies have aimed to streamline financial advising processes, from notetaking to managing client compliance, the demands of the profession have persisted. Despite improvements, advisors find themselves increasingly inundated with tasks such as email drafting and blog writing, detracting from their ability to focus on their most important task of all, meeting with clients. Now, with the advent of cutting-edge generative AI, particularly exemplified by ChatGPT, advisors can experience a significant acceleration in efficiency. This webinar aims to showcase practical examples of how ChatGPT can revolutionize advisors' practices, expanding their capabilities and enhancing the efficiencies that ultimately benefit their clients.

Jeff Levine, CPA/PFS, CFP' and Lead Financial Planning Nerd at Kitces.com , will be walking advisors through the range of.year-end tax-related opportunities and pitfalls for advisors and their clients, as well as key planning topics for advisors to consider as we move into 2026! While some tax planning considerations apply each year, from taking the correct RMD to ensuring proper tax withholdings, recent developments including those created by the One Big Beautiful Bill Act (OBBBA), have created unique decision points for 2026 and beyond....

Financial advisors know the importance of having estate planning documents in place to distribute family assets efficiently and effectively, reduce the risk of family conflict, and minimize the costs and delays of probate. However, when reviewing a client's estate plan, simply checking that estate planning documents are present while overlooking how the documents and other designations integrate can wreak havoc on how the plan will be executed in the future. In this webinar, David Haughton deep dives into the components of a cohesive estate plan beyond wills and trusts. Advisors will gain a deeper understanding of how titling, powers of attorney, healthcare directives, and digital asset access can either reinforce or unravel an otherwise well-designed estate plan. Through real-world examples and practitioner insights, this webinar highlights the advisor's critical role in coordinating the moving parts of a plan, ensuring clients' wishes are honored both in life and after death.

With today's $15 million estate tax exemption, relatively few clients face traditional estate tax concerns. Yet financial advisors are increasingly expected to guide estate planning conversations that go far beyond tax minimization. In this session, expert Marty Shenkman will explore the evolving 'menu' of estate planning priorities: protecting wealth from lawsuits and divorce through asset protection structures; strengthening revocable trusts to address aging and health challenges; leveraging non-grantor trusts for income tax benefits; reviewing and repurposing existing or outdated trusts; and designing flexible plans that provide both asset protection and client access. Advisors will leave with practical insights and tools to elevate their estate planning conversations and deliver more value to clients.

This quiz will include a review of the following articles: Factor Investing And Its (Behavioral) Persistence: Facts and Fiction About The Zoo Of Factors and Instant-Issue Term Life Insurance: What Are The Costs Of Low-Hassle Coverage, And When Are They Worth It?

Ongoing monitoring meetings get boring. Advisors and clients alike are not thrilled to be having the same meeting again and again where there is nothing new or exciting to report. Yet, when clients hit the 'fine' phase of the client-advisor relationship, this can be the perfect time to start having 'flourish' conversations and bring some fun back to the client-advisor relationship and transform the boring monitoring meetings. Join us and learn about thinking of the three phases of the client advisor relationship as fix, fine, flourish and the questions to ask clients that move them from fine to flourish which ends up brining the advisors back to where they are happiest, at fix.

In this session, learners will review two Nerd's Eye View blog articles: Hiring Your First Employee: What You Need To Know To Cover Your Compliance Obligations, When Are Advisors (Financially) Liable For Negligent Investment Advice? (And Who Pays For It), and The SEC Playbook For Newly-Registered Advisers: Preparing For The SEC Examination And Complying With The Information Request Letter. In the first article, Jacqueline Hummel walks advisors through the critical considerations and compliance obligations when hiring their first employee. Topics such as whether to hire an independent contractor or employee, registration requirements for investment advisors, and determining how new hires will be supervised are discussed. In the second article, Ben Henry-Moreland reviews the legal precedence for advisor liability when providing advice to clients and discusses the implications on firms and individual advisors for negligence. In the third article, Chris Stanley provides a detailed overview of the process of going through an SEC Examination and highlights best practices for preparation for newly registered investment advisers.