Certified Financial Planner (CFP)
1 Introduction to Financial Planning
1-1 Definition and Scope of Financial Planning
1-2 Importance of Financial Planning
1-3 Stages of Financial Planning Process
1-4 Role of a Financial Planner
2 Financial Planning Process
2-1 Establishing and Defining the Client-Planner Relationship
2-2 Gathering Client Data, Including Goals
2-3 Analyzing and Evaluating Financial Status
2-4 Developing and Presenting Financial Planning Recommendations
2-5 Implementing the Financial Planning Recommendations
2-6 Monitoring the Financial Planning Recommendations
3 Financial Statements and Taxation
3-1 Personal Financial Statements
3-2 Income Tax Planning
3-3 Tax Laws and Regulations
3-4 Tax Credits and Deductions
3-5 Tax Planning Strategies
4 Cash Flow and Budgeting
4-1 Cash Flow Management
4-2 Budgeting Techniques
4-3 Debt Management
4-4 Emergency Fund Planning
5 Risk Management and Insurance Planning
5-1 Risk Management Concepts
5-2 Insurance Principles and Products
5-3 Life Insurance Planning
5-4 Health Insurance Planning
5-5 Disability Insurance Planning
5-6 Long-Term Care Insurance Planning
5-7 Property and Casualty Insurance Planning
6 Retirement Planning
6-1 Retirement Needs Analysis
6-2 Social Security and Pension Plans
6-3 Retirement Savings Plans (e g , 401(k), IRA)
6-4 Retirement Income Strategies
6-5 Retirement Withdrawal Strategies
7 Investment Planning
7-1 Investment Principles and Concepts
7-2 Asset Allocation Strategies
7-3 Investment Products and Instruments
7-4 Risk and Return Analysis
7-5 Portfolio Management
8 Estate Planning
8-1 Estate Planning Concepts
8-2 Estate Planning Documents (e g , Will, Trust)
8-3 Estate Tax Planning
8-4 Estate Distribution Strategies
8-5 Charitable Giving Strategies
9 Specialized Topics in Financial Planning
9-1 Business Financial Planning
9-2 Education Planning
9-3 International Financial Planning
9-4 Ethical and Professional Standards in Financial Planning
9-5 Regulatory Environment for Financial Planners
8.3 Estate Tax Planning Explained

8.3 Estate Tax Planning - 8.3 Estate Tax Planning Explained

Key Concepts

Estate Tax Basics

Estate tax is a tax on the transfer of wealth from a deceased person to their heirs. It is imposed on the total value of the estate, which includes assets such as real estate, investments, and personal property. The tax rate can vary depending on the size of the estate and the applicable laws.

For example, if an estate is valued at $5 million and the estate tax rate is 40%, the tax liability would be $2 million.

Estate Tax Exemptions

Estate tax exemptions are thresholds below which estates are not subject to estate tax. For instance, in the United States, the federal estate tax exemption is currently set at $12.06 million per individual for 2022. Estates valued below this amount are exempt from federal estate tax.

Consider an estate worth $10 million. Since it is below the $12.06 million exemption, no federal estate tax would be due.

Gifting Strategies

Gifting strategies involve transferring assets to beneficiaries during the donor's lifetime to reduce the size of the estate subject to tax. Annual gifting limits and lifetime gifting exemptions can be utilized to minimize estate tax liability. For example, the annual gift tax exclusion allows individuals to gift up to $16,000 per recipient per year without incurring gift tax.

If a parent wants to transfer $100,000 to each of their two children, they could do so over six years, gifting $16,000 annually to each child, thereby avoiding gift tax.

Trusts and Estate Planning

Trusts are legal entities that hold assets for the benefit of beneficiaries. They can be used to manage and distribute assets according to the grantor's wishes while minimizing estate tax. Common types of trusts include revocable living trusts, irrevocable trusts, and charitable trusts.

For instance, an irrevocable trust can remove assets from the grantor's estate, thereby reducing the taxable estate. If a person transfers $2 million into an irrevocable trust, that amount would not be included in their estate for tax purposes.

Estate Tax Returns

Estate tax returns, such as Form 706 in the United States, are required to be filed when the value of an estate exceeds the applicable exemption amount. These returns detail the assets, liabilities, and distributions of the estate, and are used to calculate the estate tax liability.

If an estate is valued at $15 million, Form 706 would need to be filed to report the estate's details and calculate the tax due.

Portability of Estate Tax Exemptions

Portability allows the surviving spouse to use the deceased spouse's unused estate tax exemption. This means that if one spouse dies and does not use their entire exemption, the remaining portion can be transferred to the surviving spouse, effectively doubling their exemption.

For example, if the first spouse dies with an estate of $5 million, leaving $7.06 million of exemption unused, the surviving spouse can add this $7.06 million to their own $12.06 million exemption, resulting in a total exemption of $19.12 million.