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Adviser links: a winning model

Abnormal Returns

wsj.com) Advisers are scrambling to get into compliance with new advertising rules. advisorservices.schwab.com) Insights from the Schwab study including why firms that have an 'ideal client persona' tend to thrive. investmentnews.com) Be careful soliciting client testimonials. thinkadvisor.com).

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Compliance Calendar For A Solo RIA: Staying On Top Of Compliance Tasks While Serving Clients

Nerd's Eye View

accounting reports, client contract templates, and a surety bond) and filing an annual renewal fee near the end of the year. After year-end, firms typically have until March 31 to submit an annual amendment to their Form ADV Part 1 and Part 2A/2B, and until April 30 to offer a copy of their updated Form ADV to their clients.

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Weekend Reading For Financial Planners (November 25-26)

Nerd's Eye View

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that FINRA has issued a proposal to allow broker-dealers to advertise hypothetical performance data to institutional and high-net-worth investors, which would bring the rules for broker-dealers largely in line with (..)

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Kitces & Carl Ep 121: Can You Just Do Good Work And Get Noticed As An Advisor Or Do You Have To Self-Promote?

Nerd's Eye View

Regardless of the size of a financial advisory firm, clients are a constant necessity to sustain a profitable business. As a starting point, there are unconventional marketing principles that can help advisors who do not want to engage in traditional marketing campaigns to effectively attract and acquire clients.

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How Financial Advisers Can Boost Online Reputation Through Google Reviews (While Complying With SEC Marketing Rule Requirements)

Nerd's Eye View

Nonetheless, fewer than 10% of SEC-registered investment advisers report using them, even though the SEC’s updated investment adviser marketing rule allows financial advisors to proactively encourage testimonials (from clients), use endorsements (from non-clients), and highlight their own ratings on various third-party review sites.

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Weekend Reading For Financial Planners (July 27-28)

Nerd's Eye View

The study also identified attributes of "top performing" firms across a range of metrics, finding that they are more likely than other firms to have a clear ideal client persona, client value proposition, and marketing plan.

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Crafting An Annual Compliance Calendar For A (Solo) RIA: Staying On Top Of Compliance Tasks While Serving Clients

Nerd's Eye View

accounting reports, client contract templates, and a surety bond) and filing an annual renewal fee near the end of the year. After year-end, firms typically have until March 31 to submit an annual amendment to their Form ADV Part 1 and Part 2A/2B, and until April 30 to offer a copy of their updated Form ADV to their clients.