investment advisory services

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  Use and Misuse of Social Media

  By Les Abromovitz  |  January 1, 2012

  Social media is an inexpensive and effective way to communicate with established and prospective clients.  Nevertheless, when RIAs utilize social media to promote their advisory practices, they risk compliance problems for their firms.

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  Where Are We Headed?

  By Les Abromovitz  |  January 1, 2012

  The ultimate compliance goal is to help ensure that everyone associated with an advisory firm acts ethically at all times.  Advisors and RIAs should do the right thing, even when regulators are not looking over their shoulders.

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  Using Solicitors to Attract Clients

  By Les Abromovitz  |  January 1, 2012

  Rule 206(4)-3 under the Investment Advisors Act establishes requirements governing cash payments to solicitors. The rule permits payment of cash referral fees to individuals and companies recommending clients to an RIA, but requires four conditions are first satisfied.

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  IRS Clarifies Deductibility of Advisory Fees by Estates and Trusts

  By Robert Bloink, Esq., LL.M., William H. Byrnes, Esq.  |  September 18, 2011

  The IRS has reissued proposed regs that clarify when a nongrantor trust’s or estate’s investment advisory services are fully deductible for income tax purposes.

• Stepping Up at Royal

  By James J. Green, AdvisorOne  |  September 21, 2006

  Larry Roth, president and CEO of the AIG Advisor Group broker/dealer Royal Alliance Associates, announced several management promotions on September 21.