Approved IAR CE Courses

Upon completion of the self-study guide, Aligning Fiduciary Duty & SEC Priorities, financial professionals will be able to understand their fiduciary requirements as they relate to the SEC’s Examination Priorities, explain their fiduciary duties, and describe the legal and ethical responsibilities involved, using the course materials and case examples provided, with a demonstrated increase in awareness and knowledge as measured by a post-course assessment or self-evaluation.

In this continuing education session, learners will review 2 Nerd’s Eye View blog articles: Alternative Investment Due Diligence For RIAs: A Framework For Compliantly Evaluating Private Funds and 10 Charts To Help Advisors Guide Top Client Concerns In 2026.

In the first article, Ben Henry Moreland, Senior Financial Planning Nerd at Kitces.com, outlines how fiduciary duty and the duty of care require advisors to develop thorough due diligence processes when evaluating alternative investments – especially private funds. The article breaks down why complex or opaque investment structures demand deeper analysis, how to tailor diligence to client and manager factors (including risk, liquidity, strategy, operations, and costs), and how advisors can document and justify their assessments to ensure that recommendations are in the client’s best interest.

In the second article, James Liu presents ten key charts and insights from Clearnomics that frame the major economic and market themes shaping financial planning for 2026. These visuals help advisors contextualize topics such as artificial intelligence’s impact on markets, valuation levels, geopolitical risks (including tariffs), Federal Reserve policy, currency dynamics, and the role of diversification in managing client portfolios. The article emphasizes how advisors can use data driven talking points to better educate and guide clients through an increasingly complex investment landscape.

This course defines the term "alternative investments" and reviews several different types of investments that are classified as alternative investments. An explanation is provided as to why alternative assets are needed to diversify and create efficient portfolios. A focused review is provided regarding the risks and benefits of alternative investments including hedge funds, private equity, venture capital, private debt, infrastructure investments, commodities and real estate.

In a rapidly evolving market, understanding the unique characteristics and compliance challenges of alternative investments is critical for fiduciary excellence. Alternative Investments: Fiduciary Focus equips advisers with a practical framework for integrating private equity, hedge funds, real estate, and other non-traditional assets while upholding fiduciary duties of care and loyalty. Through concise, real-world case studies and interactive exercises, learners will deepen their understanding of SEC guidance on disclosure requirements and conflict mitigation, apply ethical principles to fee analysis and liquidity assessments, and adopt best practices for thorough due diligence and documentation. By the end of the course, participants will be able to navigate compliance pitfalls and tailor alternative investment recommendations to client needs, aligning each proposal with fiduciary standards and sound due diligence practices.

An analysis of seven different withdrawal schemes which can be used to withdrawal money periodically form a retirement investment account. Includes discussion of appropriateness for various retirees.

For the past 20 years, alternatives were optional. A sophisticated tool for hedge funds and endowments, but not essential for advisor portfolios. That's because the 60/40 worked. Stocks and bonds were diversifiers, delivering steady returns through disinflation and falling rates. But the regime has shifted. Stock-bond correlation has flipped to positive territory. Inflation is sticky, geopolitical risks are structural, and rates can't fall as they once did. When both stocks and bonds decline together, the traditional playbook breaks down. What was once an edge case has become essential.

This session walks advisors through the data for why the macro regime shifted, which alternative strategies address specific portfolio gaps, and how to build a meaningful allocation without rebuilding. Participants will learn to map portfolio concentration, understand the structural return drivers of liquid cycle-agnostic alternatives, and execute a phased three-year plan. Includes 2022 performance data and a practical implementation framework.

This course helps IARs apply AML and sanctions compliance principles to challenging situations involving overlapping risks, ethical dilemmas, and heightened scrutiny. Participants will strengthen their judgment, escalation, and communication skills through practical case-based learning.

This foundational course helps IARs recognize AML and sanctions risks, apply appropriate due diligence, and respond to potential issues through effective documentation, escalation, and client communication.

Money laundering is a serious global issue that has led to the loss of billions of dollars and undermines the stability of the global financial system. This course will introduce the concepts and practices surrounding money laundering, including the stages of placement, layering, and integration, as well as some of the common schemes used to launder money.

This course introduces Investment Adviser Representatives (IARs) to Anti-Money Laundering (AML) requirements under the Bank Secrecy Act. Participants will explore the rule's background, coverage, and how it ties into a new IA AML Rule which was recently postponed until 2028. The course helps investment advisers prepare for what's to come by covering the five pillars of AML programs, reporting and recordkeeping obligations, and practical steps for identifying and escalating red flags. Through examples and case studies, advisers will gain the knowledge needed to protect clients, safeguard their firms, and meet evolving regulatory expectations.