Approved IAR CE Courses

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.

Times are changing rapidly. Cars can drive themselves. Artificial intelligence is reshaping everyday life. Careers are becoming more flexible than ever before, with remote work, portfolio careers, and longer working lives replacing traditional employment paths. As the world evolves, clients' expectations and goals are evolving with it. Retirement is no exception.

In this webinar, Adam Van Deusen explores how the traditional concept of retirement, where a client leaves a full-time career followed by a period where the client fully exits the workforce, is a relatively modern construct and is increasingly no longer the only model for retirement planning. Adam introduces five retirement paths: traditional retirement, financial independence, sabbaticals, Coast FIRE, and semi-retirement, highlighting the unique benefits, trade-offs, and planning considerations associated with each. Adam emphasizes the advisor's role in helping clients recognize these alternatives, identify the path that best fits their values and financial circumstances, and assist clients in thinking through tax strategies, health insurance planning, retirement income planning, and stress testing to help clients successfully implement flexible retirement strategies.

This quiz includes the following articles: Form U4: Common Missteps And Best Practices For RIAs; and RIA Code Of Ethics: Important Nuances To Note In Relatively Straightforward Requirements

This quiz will include a review of the following articles: Framing Prospect Conversations Around What Motivates Them Today (And Not Their Future Goals) and Discovery Meeting Framework: 6 Questions To Help Prospects Who Are Resistant To Change

In this continuing education session, learners will review 2 Nerd’s Eye View blog articles: Closing The Implementation Gap: A Formula For Exploration Meetings That Lead To Better Client Follow-Through and How To Better Help Business Owner Clients Depending On The Stage Of Their Business Journey.

In the first article, Scott Frank explains why clients may fail to implement financial planning recommendations even when they understand and agree with them, arguing that traditional planning often engages the conscious “Rider” while overlooking the unconscious, emotion-driven “Elephant.” He then presents the Exploration phase of George Kinder’s EVOKE framework as a way for advisors to create safety, curiosity, and space for clients to uncover deeper motivations, resulting in plans that feel personally meaningful and are more likely to inspire follow-through.

In the second article, Michael Kitces presents a four-stage framework for understanding how business owners’ needs evolve from establishing financial stability to building scalable enterprises and ultimately pursuing significance, legacy, and impact.

In this continuing education session, learners will review 2 Nerd’s Eye View blog articles written by Dr. Meghaan Lurtz: Navigating Sensitive Topics With Clients: 3 Tools To Get Them To Open Up About Planning Hurdles and When Clients Use AI To Challenge Your Advice: How To Respond To Deepen Engagement.

In the first article, Meghaan explains why financial advisors should not avoid sensitive client conversations and explores research showing that clients often overestimate how uncomfortable these discussions will be. She then introduces three trauma-informed communication techniques to help advisors uncover deeper client values, improve engagement, and develop more meaningful financial plans. In the second article,

In the second article, Meghaan argues that clients who use AI to question or validate their advisor's recommendations are typically demonstrating greater engagement rather than distrust. She then introduces a four-step conversational framework advisors can utilize to transform AI-driven questions into opportunities for deeper trust, collaboration, and better planning outcomes.