Approved IAR CE Courses

This webinar will equip financial advisors with essential Social Security education and updates, including the 2026 annual automatic determinations and recent key program rule changes. It will cover the January 2025 repeal of two pension-related rules, as well as any current pending legislative proposals which could impact retirement financial planning. Advisors will also gain insights from the January 2025 study, "Social Security at 90: A Bipartisan Roadmap for the Programs Future," which explores solutions for closing the programs long-term funding gap; the study is by the National Academy of Social Insurance, AARP, the National Institute on Retirement Security, and the U.S. Chamber of Commerce. Attendees will leave with actionable knowledge to guide clients through Social Securitys evolving landscape.

Tax planning has become an increasingly important part of the typical wealth management relationship, making a sound understanding of tax-saving strategies an absolute must for many financial professionals. One such strategy that has a place on the financial advisor's 'rolodex' of planning tools is Section 1202 Qualified Small Business Stock (QSBS). For the right business owner-client, QSBS offers a virtually unrivaled opportunity to create substantial, long-term tax-free growth. Unfortunately, not all small businesses are eligible for QSBS treatment, and of those that are, owners often fail to fully maximize their tax-free potential due to a lack of understanding of the key rules, or a failure to think creatively. At this Kitces monthly webinar, Jeff Levine explains key QSBS concepts and provides practical tips advisors can apply to help clients take advantage of this unique planning opportunity.

Concentrated stock exposure, whether from employee compensation, inheritances, or preference, can leave client portfolios vulnerable to outsized risk and limited flexibility. A market downturn or unforeseen financial need magnifies the dangers of concentrated stock while also putting the client's overall goals at risk. In attempting to address this risk, advisors can face significant obstacles from the tax implications of concentrated stock but also from emotional attachments and behavioral biases associated with these positions. In this webinar, John Nersisan walks through scenarios that can lead clients to have concentrated stock positions and their associated risks. Then, he provides strategies to mitigate the risks associated with those concentrated positions based on client objectives. Client objectives such as liquidity, tax minimization, diversification, and wealth transfer are discussed in alignment with the benefits and drawbacks of mitigation strategies, such as stock sales, zero premium collars, exchange funds, and charitable giving.

Many advisors focus on the "Great Wealth Transfer," estimated to be around $124 trillion through 2048, projected to shift assets from Baby Boomers to their heirs. However, of this amount, approximately $54 trillion is expected to first be passed through inter-spousal transfers to widows, of which more than 95% is expected to go to women.Advisors should prepare married couples for intentionally transferring wealth through titling of assets, making irrevocable lifetime gifts, and structuring inheritances at death through trusts and outright bequests. This session will review the federal estate and gift tax exemption under the Tax Cuts and Jobs Act of 2017 (including the effects of any potential sunset or revision thereto), explore some of the various types of trusts for the benefit of a spouse, and discuss some common hypotheticals for planning for these married couples.With intentional and holistic planning, married couples can thoughtfully prepare, plan and protect for their future, especially upon the death of the first of them to die.(NOTE: The instructor for this course, Brian Balduzzi, Esq., Tax LL.M., MBA, CFP, CEPA, AEP, IPA, was previously qualified as an instructor for NAPFA as instructor #150408, for course #C27698.)

This presentation provides education on succession planning as a core component of risk management and long-term estate planning for RIA owners. Attendees will learn how the absence of a clear succession strategy can create risks for clients, firm continuity, and enterprise value, and how to evaluate internal and external transition options through a planning lens.

OpenAI Codex provides sudden acceleration of financial advisor productivity. It's a breakthrough.
Financial planners can use Codex to improve client outcomes by:
automating creation of spreadsheets
converting spreadsheets into textual analysis you can review and share with clients
converting portfolio reports data into personal updates on a financial plan
consolidating and analyzing data from disparate sources

This self-study continuing education course provides a comprehensive review of one of the most consequential SEC Division of Examinations 2026 priorities: whether investment recommendations are consistent with product disclosures and with each client's investment objectives, risk tolerance, and financial and personal background. Participants will learn the analytical framework examiners use, examine five specific sub-areas of heightened scrutiny, and apply the principles to realistic scenarios involving older investors, dual-hatted advisers, newly launched private funds, volatility-sensitive products, and advisers new to the private fund space.