SEC registered investment advisers are required to conduct annual reviews of their business operations and practices. Proof of these reviews is a key item for SEC examiners. Many compliance review firms offer services to provide RIAs with professional evaluations for meeting the “annual review” requirements. In some cases, these reviews are promoted […]
Pete and the gang spent a night at the Hotel Del in Coronado dancing, eating, and celebrating with Federated Securities at their annual conference. A big thanks to Dayna for inviting all of us.
An indirect rollover occurs when the account holder takes custody of the assets. They then have a 60 day window to deposit the assets into the new IRA. Recently, the IRS ruled in favor of putting restrictions on the number of indirect IRA rollovers you can do each year.
Previously, within a 12 month period you […]
The 42nd annual Accounting Day will be on May 19, 2014 and will bring a full day of top quality continuing education to accounting and finance professionals across a variety of industries. Don’t miss this exciting opportunity to network with more than 400 of your accounting industry peers from throughout San Diego County. More information […]
2013 saw a jump in sales for Variable Universal Life and Indexed Universal Life, up by 24% and 13% respectively. Both of these types of insurance incorporate an equity related growth component in addition to traditional life insurance benefits.
In a recent Wall Street Journal article, The Great Life Insurance Temptation, Leslie Scism states:
“Variable universal life […]
The Path to Success is Not Always a Straight Line
On the road from “where you are now” to “where you want to be” remember that there’s no such thing as an overnight success.
Don’t give up, and remember that even some of the most successful people have had long seasons wandering. Keep at it and finish […]
We have been talking to business owners and a common concern regarding the steps to move toward a change in management or leadership came up several times. Some of the conversations lead to asking the following questions:
- Are you a business owner caught in the “Forever FIVE?”
- Did you plan on selling or changing the […]