Nerd's Eye View

JUNE 21, 2023

All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.

Ethics 244

Ethics Fiduciary Duty Compliance Clients 244

The Big Picture

JUNE 11, 2024

He began as an attorney working on things like taxes and, and trusts in estates and consulting for various RIA firms when he became an RIA and eventually bought creative planning when it had, you know, a handful of, of clients and, you know, 30, $35 million. What led you to acquire the company in 2004? By the client.

Planning 162

Planning Clients Investing Investments 162

Brown Advisory

DECEMBER 5, 2023

Our use-case at Brown Advisory for environmental, social and governance information, however, can be vastly different from how some clients, regulators, and other stakeholders use the term. Here is an attempt to invoke fundamental investing basics to clarify exactly what we aspire to deliver for our clients.

Fiduciary Duty 52

Fiduciary Duty Government Clients Investing 52

The Big Picture

JULY 4, 2023

I know you don’t disclose your clients, but the Wall Street Journal certainly mentioned those. ” I just had this with a client who runs a very large, not multi-manager, but multi-strategy fund. And the phone rings an hour in and it’s my client. RITHOLTZ: Really? It was year one or so of IDW.

Management 147

Management Recruitment Numbers Banking 147

The Big Picture

AUGUST 29, 2022

at a crisis communication firm named Abernathy MacGregor and got to work with several clients and, you know, took them to Bloomberg, took them to Reuters, took them to there. And so, I was doing that in 2000, 2002, 2003, 2004. And in ’08, McNabb logs in and he hears not just nervous clients, but nervous customer service reps.

Assets 173

Assets Management Marketing Marketing 173

The Big Picture

JUNE 6, 2023

So, you start the blog in 2004, more or less. That led to the next three or four years of learning how to sell, how to create value, and not worry about selling out, but do it in a very ethical way. RITHOLTZ: What’s the pushback to that from clients? RITHOLTZ: Perfect is the enemy of the good, isn’t it? SETHI: Yes.

Accounting 130

Accounting Numbers Budgeting Financial Counseling 130

The Big Picture

JANUARY 14, 2025

You know, we were providing research advice, investment advice, talk to clients, help them raise money in other products. So it’s not like, hey, this guy has a bad quarter ’cause what they do is out of favor and the clients pull out their cash just before the recovery. Most of his mentorship was through his actions.

Management 147

Management Investing Investments Assets 147