News and Updates

All Investment Adviser Representatives (IAR) of registered investment advisory firms are required to file Form U4, a regulatory filing containing public disclosures of certain information about financial professionals. And while IARs are responsible for keeping their own Form U4 up-to-date, Form U4 – unlike other regulatory forms like Form ADV that require an annual amendment Read More... The post Form U4: Common Missteps And Best Practices For RIAs first appeared on Kitces.com .

Welcome back to the 336th episode of the Financial Advisor Success Podcast! My guest on today's podcast is Adam Holt. Adam is a principal with RubinGoldman and Associates, and the Founder and CEO of Asset-Map, a financial planning tool that helps financial advisors create a visual representation of their clients’ financial situation, reaching over 1.25 Read More... The post #FA Success Ep 336: Showing Prospects An (Asset) Map To Generate More Advice Engagement, With H. Adam Holt first appeared on Kitces.com .

Welcome to the June 2023 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, and underlying trends and developments that are emerging in the world of technology solutions for financial advisors! This month's edition kicks off with the news that Riskalyze has completed its previously-announced rebranding, and Read More... The post The Latest In Financial #AdvisorTech (June 2023) first appeared on Kitces.com .