Assets and Business Planning - Financial Advisor Source

#FASuccess Ep 412: 3X’ing The Business With No More Than 50 Great Clients By Hyperfocusing On Who You Can Add The Most Value For, With Anjali Jariwala

Nerd's Eye View

NOVEMBER 19, 2024

Anjali is the Founder of FIT Advisors, an RIA based in Torrance, California (but works virtually with clients nationwide) and oversees $65 million in assets under management for 45 client households. My guest on today's podcast is Anjali Jariwala.

Clients

Clients Financial Advisor Business Planning Taxes

Identifying Your Own “Soft Assets” To Turn COIs Into Powerful Referral Champions

Nerd's Eye View

MARCH 18, 2024

And the financial advisor who can find an overlap between their soft assets and the interests of a COI they'd like to connect with is much more likely to be successful in their outreach efforts. Often, sharing a connection through soft assets can be more valuable than the professional services of the COI – at least at first.

Assets

Assets Media Professional Services Financial Advisor

#FA Success Ep 336: Showing Prospects An (Asset) Map To Generate More Advice Engagement, With H. Adam Holt

Nerd's Eye View

JUNE 6, 2023

Adam is a principal with RubinGoldman and Associates, and the Founder and CEO of Asset-Map, a financial planning tool that helps financial advisors create a visual representation of their clients’ financial situation, reaching over 1.25 Welcome back to the 336th episode of the Financial Advisor Success Podcast ! million users.

Assets

Assets Financial Advisor Financial Planning Insurance

Webinars

Book of Secrets on the Month-End Close

What Your Financial Statements Are Telling You—And How to Listen!

Are Robots Replacing You? Keeping Humans in the Loop in Automated Environments

Data Talks, CFOs Listen: Why Analytics Is The Key To Better Spend Management

MORE WEBINARS

A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny

Nerd's Eye View

DECEMBER 18, 2024

Next, firms can document the delivery of the plan, check-ins throughout the year to support plan implementation, periodic meetings to work on or execute various aspects of the plan, and the annual review of the client's situation.

Financial Planning

Financial Planning Planning Compliance Advertising

#FASuccess Ep 405: When Being ‘Youthful’ Turns From A Liability To An Asset In Building Your (Long-Term) Advisory Business, With Gaetano Sacco

Nerd's Eye View

OCTOBER 1, 2024

Gaetano is a partner and senior financial advisor at Fountainhead Advisors, an RIA based in Warren, New Jersey, that oversees approximately $900 million in assets under management for 1,000 client households.

Assets

Assets Financial Advisor Insurance Clients

Recognizing Emotionally Invested Team Members And Nurturing “Emotional Ownership” For A More Resilient Firm

Nerd's Eye View

DECEMBER 9, 2024

Team members who feel a sense of emotional ownership can be a tremendous asset to the firm, driving productivity, innovation, and leadership. However, it's important to recognize that not all team members will share this mindset – and that's not necessarily a bad thing.

Investing

Investing Investments Distribution Accounting

#FASuccess Ep 426: Rolling Out An Equity Compensation Plan To Align The Entire Team On Client Service And Profitable Growth, With Jennifer des Groseilliers

Nerd's Eye View

FEBRUARY 25, 2025

Jennifer is the CEO of The Mather Group, an RIA based in Chicago, Illinois, that oversees $15 billion in combined assets under management and advisement for approximately 4,400 client households. Welcome to the 426th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jennifer des Groseilliers.

Compensation Planning

Compensation Planning Clients Planning Wealth Advisor

#FASuccess Ep 421: Integrating Tax Preparation Without Hiring In-House CPAs To Bring More Tax-Focused Value, With Daniel Friedman

Nerd's Eye View

JANUARY 21, 2025

Daniel is the CEO of WMGNA, a hybrid advisory firm based in Farmington, Connecticut, that oversees approximately $270 million in assets under management for 200 client households. My guest on today's podcast is Daniel Friedman.

Taxes

Taxes Tax Planning Financial Advisor Compensation Planning

#FASuccess Ep 416: Avoiding The Compliance Headaches When Going RIA By Choosing A ‘Supported Independence’ Corporate RIA Platform, With Fran Toler

Nerd's Eye View

DECEMBER 17, 2024

Fran is the CEO of Toler Financial Group, an RIA based in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households. Welcome to the 416th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Fran Toler.

Compliance

Compliance Financial Advisor Financial Advice Clients

#FASuccess Ep 419: Attracting Clients Who Want To Align Their Investments With Their Values With A Sustainable Investing Approach, With Peter Krull

Nerd's Eye View

JANUARY 7, 2025

Pete is the Director of Sustainable Investing of Earth Equity Advisors, an RIA based in Asheville, North Carolina, that oversees approximately $200 million in assets under management for 250 client households. My guest on today's podcast is Peter Krull.

Investing

Investing Investments Clients Risk Tolerance

#FASuccess Ep 423: Expanding Across The Household By Helping (Affluent) Sandwich Generation Kids With Their Parents’ Financial Needs, With Cristina Livadary

Nerd's Eye View

FEBRUARY 4, 2025

Cristina is the CEO of Mana Financial Life Design, an RIA based in Los Angeles, California (but works virtually with clients nationwide), that oversees approximately $70 million in assets under management for 119 client households.

Financial Advisor

Financial Advisor Clients Financial Planning Planning

#FASuccess Ep 430: Navigating The Fast-Growth Hiring Challenges Of Scaling From Scratch To $5M Of Revenue In Just 7 Years, With AJ Ayers

Nerd's Eye View

MARCH 25, 2025

AJ is the co-founder of Brooklyn Fi, an RIA based in Brooklyn, New York but operating as a fully remote business, that oversees $370 million in assets under management for more than 400 client households. My guest on today's podcast is AJ Ayers.

Financial Advisor

Financial Advisor Clients Recruitment Certification

Kitces & Carl Ep 105: When A Prospect Doesn’t Meet Your Minimum: Navigating The Awkwardness Gracefully

Nerd's Eye View

FEBRUARY 9, 2023

For many financial advisors, setting asset minimums helps ensure that their firm can generate enough revenue to maintain business costs and compensate the advisor appropriately. A simple way for advisors to educate prospects about asset minimums is to include the information on their firm’s website.

Assets

Assets Communication Financial Advisor Financial Planning

#FASuccess Ep 422: Developing Your Leadership Skillset On The Path From Intern To President Of A $13B AUM Enterprise, With Kay Lynn Mayhue

Nerd's Eye View

JANUARY 28, 2025

Kay Lynn is the President of Merit Financial Advisors, a hybrid advisory firm based in Alpharetta, Georgia, that oversees approximately $13 billion in assets under management for 26,000 client households. My guest on today's podcast is Kay Lynn Mayhue.

Financial Advisor

Financial Advisor Clients Management Valuation

DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now About Giving Rollover Advice After Sept 23, 2024

Nerd's Eye View

MAY 15, 2024

In practice, the DoL's Final Rule means that financial advisers who advise clients about rolling over assets from an employee retirement account like a 401(k) plan into an IRA are now subject to ERISA fiduciary obligations.

Retirement

Retirement Commission Banking Financial Advising

Why “Deferred Sales Trusts” Can Be A Risky Way To Defer Taxes On A Business Sale

Nerd's Eye View

MAY 29, 2024

Small business owners often treat their businesses not only as their source of income during their working years, but also as an asset that can be sold to fund their retirement. One way to reduce the tax impact of selling a small business is by using an installment sale. Under IRC Sec.

Sales

Sales Taxes Assets Retirement

#FA Success Ep 357: Building A High-Tech High-Touch Advisory Firm With The Modern Advisor Tech Stack, With Jon Henderson

Nerd's Eye View

OCTOBER 31, 2023

Jon is the Founder and CIO for Echo45 Advisors, an independent RIA based in Walnut Creek, California, that oversees $163 million in assets under management for more than 180 client households. My guest on today's podcast is Jon Henderson.

Financial Advisor

Financial Advisor Estate Planning Clients Education

How To Survive Your First SEC Audit: Preparing For The SEC Examination And Complying With The Information Request Letter

Nerd's Eye View

JULY 31, 2024

First, the SEC will request information on the firm itself, including organizational charts, employee roles and responsibilities, financial statements, and/or any legal action against the firm that is pending or settled.

Compliance

Compliance Ethics Advertising Clients

#FASuccess Ep 425: Implementing A Financial Planning Quality Control System To Improve Both Client Outcomes And Referrals, With Sebastian Guerra

Nerd's Eye View

FEBRUARY 18, 2025

We also talk about how Sebastian's firm attracted and onboarded approximately 480 new households in 2024 (including through a one-day educational event that led to data-nav-title="Hiring A Quality Control Specialist [05:15]" 115 prospect appointments all by itself), how Sebastian's firm expands its relationship with existing clients by tasking everyone, (..)

Financial Planning

Financial Planning Clients Planning Wealth Advisor

#FASuccess Ep 403: Carving Your Path As An Investment Nerd By Building A Fractional CIO Solution For Other Advisory Firms, With Eric Stein

Nerd's Eye View

SEPTEMBER 17, 2024

Eric is a partner at East Bay Investment Solutions, a firm that provides fractional Chief Investment Officer services based in Charleston, South Carolina, that supports over $6 billion in assets under advisement across 26 advisory firms they serve.

Financial Advisor

Financial Advisor Investing Investments Financial Services

#FASuccess Ep 428: Leveraging (Salesforce) CRM To Really Systematize A Mid-Sized Advisory Firm, With Lorie Jones

Nerd's Eye View

MARCH 11, 2025

Lorie is the wealth manager of Fearless Financial Advisors, a dba of hybrid advisory firm Fidelis Wealth Advisors based in Castle Rock, Colorado, where Lorie personally oversees $30 million in assets under management for 88 client households.

Financial Advisor

Financial Advisor Certification Wealth Advisor Clients

Wealth.com Raises $30M To Provide Estate Documents To Advisors’ Clients (And More Of The Latest In Financial #AdvisorTech – October 2024)

Nerd's Eye View

OCTOBER 7, 2024

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: VRGL has announced a new venture capital funding round to continue building out its capabilities to extract data from prospects' investment statements and automatically generate investment proposals – which while having proven (..)

Clients

Clients B2B Estate Planning Planning

#FA Success Ep 385: Unblocking Clients That Won’t Implement With A Journey Of Financial Health, With Danielle Howard

Nerd's Eye View

MAY 14, 2024

Danielle is the owner of Wealth By Design, a hybrid advisory firm based in Glenwood Springs, Colorado, that oversees about $35 million in assets under advisement for 35 client households. My guest on today's podcast is Danielle Howard.

Clients

Clients Financial Planning Financial Advisor Planning

Advisory Agreement Statutory Requirements: What Advisors Need To Know To Stay Compliant

Nerd's Eye View

AUGUST 17, 2022

When describing the RIA’s services, advisory agreements should lay out the specific services – such as discretionary or nondiscretionary asset management, and the scope and duration of any financial planning services – to be included in the arrangement.

Clients

Clients Assets Financial Planning Management

#FASuccess Ep 427: Finding The Director Of Operations That Can Rebuild Your Team To Get To The Next Level, With Sten Morgan

Nerd's Eye View

MARCH 4, 2025

Sten is the owner of Legacy Investment Planning, a hybrid advisory firm based in Franklin, Tennessee, that oversees $220 million in assets under management for 90 client households. My guest on today's podcast is Sten Morgan.

Financial Advisor

Financial Advisor Recruitment Investment Planning Planning

#FASuccess Ep 393: Taking The Risk Of A Multi-Million-Dollar Succession Loan To Make The Business What You Want It To Be, With Alex Lewis

Nerd's Eye View

JULY 9, 2024

Alex is the owner of Blackbridge Financial, a hybrid advisory firm based in Irmo, South Carolina, that oversees approximately $330 million in assets under management for 415 client households. My guest on today's podcast is Alex Lewis.

Financial Advisor

Financial Advisor Clients CFP Planning

#FA Success 291: Managing Fast Growth And Slow Growth Of A Planning-Centric Advice Firm, With Amy Irvine

Nerd's Eye View

JULY 26, 2022

Amy is the owner of Rooted Planning Group, an independent RIA based in Corning, New York that oversees $67 million in assets under management for 175 client households. Welcome back to the 291st episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Amy Irvine.

Financial Planner

Financial Planner Management Planning Financial Advisor

Quantifying (More Accurately) The Real Impact Of A Financial Advisor’s Costs On Their Clients’ Nest Eggs

Nerd's Eye View

OCTOBER 23, 2024

While the financial advice industry has transformed in many ways over the past several decades, one aspect that has remained relatively constant is the use of the Assets Under Management (AUM) fee model as a common way for many advisors to get paid.

Clients

Clients Financial Advice Financial Planning Financial Advisor

Advisory Agreement Statutory Requirements: What Advisors Need To Know To Stay Compliant

Nerd's Eye View

AUGUST 17, 2022

When describing the RIA’s services, advisory agreements should lay out the specific services – such as discretionary or nondiscretionary asset management, and the scope and duration of any financial planning services – to be included in the arrangement.

Clients

Clients Assets Financial Planning Management

The Latest In Financial #AdvisorTech (March 2024)

Nerd's Eye View

MARCH 4, 2024

Welcome to the March 2024 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, and underlying trends and developments that are emerging in the world of technology solutions for financial advisors!

Startup

Startup Wealth Management Clients Portfolio

Switching Between State And SEC Registration: Evaluating Options (And Requirements) For RIAs Nearing $100 Million RAUM

Nerd's Eye View

APRIL 19, 2023

When an RIA reaches the threshold of $100 million in Regulatory Assets Under Management (RAUM), it must generally switch from being registered at the state level to registering with the SEC. But while $100 million may be the general rule, in practice it isn’t always a hard line.

Assets

Assets Management Investing Investments

From Unprofitable To $115M AUM: Reinventing A 2nd Generation Advisory Business By Finding The Right Niche

Nerd's Eye View

JULY 10, 2023

But as market trends changed (with the performance of this asset class falling behind large-cap stocks during the 2010s) and clients entered retirement (often consolidating their investment management with 1 advisor), Eliot Rose started losing clients, eventually becoming unprofitable in 2016, the year Jason became president of the firm.

Financial Planning

Financial Planning Retirement Planning Clients

#FA Success Ep 289: Coming Together As A Partnership To Serve Your Collective Community, With Kamila Elliott

Nerd's Eye View

JULY 12, 2022

Kamila is the CEO and Founder of Collective Wealth Partners, an independent RIA based in Atlanta, Georgia, that oversees nearly $25 million in assets under management for almost 175 client households. My guest on today's podcast is Kamila Elliott.

Financial Advisor

Financial Advisor CFP Clients Financial Planning

The Latest In Financial #AdvisorTech (January 2024)

Nerd's Eye View

JANUARY 1, 2024

Welcome to the January 2024 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, and underlying trends and developments that are emerging in the world of technology solutions for financial advisors!

Retirement Planning

Retirement Planning Startup Compliance Clients

#FA Success Ep 360: Growing To 100+ Clients With $100M+ AUM With Intentionality To Leave Time For Family, With Suzanne Powell

Nerd's Eye View

NOVEMBER 21, 2023

Suzanne is a Senior Financial Advisor at Meridian Wealth Management, an RIA based in Lexington, Kentucky, where she oversees approximately $110 million in assets under management for nearly 150 client households. My guest on today's podcast is Suzanne Powell.

Clients

Clients Financial Advisor CFP Wealth Management

#FA Success Ep 367: When Being In Business With Your Spouse Doesn’t Work Out And You Have To Start Over, With Kimberly Enders

Nerd's Eye View

JANUARY 9, 2024

Kimberly is the Lead Financial Planner and Managing Partner of Enders Wealth Management, a hybrid advisory firm based in Sterling Heights, Michigan, that oversees $50M in assets under management for 85 client households.

Financial Advisor

Financial Advisor Financial Planner Clients Food

#FA Success Ep 295: Systematizing A Planning Process To Maximize The Return On Life For Clients, With Shari Greco Reiches

Nerd's Eye View

AUGUST 23, 2022

Shari is the Co-Founder and Chief Visionary Officer of Rappaport Reiches Capital Management, an independent RIA based in Skokie, Illinois, that oversees more than $800 million in assets under management, for 350 client households.

Clients

Clients Planning Financial Advisor Financial Planning

The SEC Playbook For Newly-Registered Advisers: Preparing For The SEC Examination And Complying With The Information Request Letter

Nerd's Eye View

JULY 31, 2024

First, the SEC will request information on the firm itself, including organizational charts, employee roles and responsibilities, financial statements, and/or any legal action against the firm that is pending or settled.

Compliance

Compliance Ethics Advertising Clients

#FA Success Ep 353: Driving Growth By Setting A Clear Vision Of What You Do Best In Your Business(es), With Brett Danko

Nerd's Eye View

OCTOBER 3, 2023

Brett is the Founder of Brett Danko Educational Center, a CFP Board Education and Exam Prep provider, and the CEO and Managing Partner for Main Street Financial Solutions, an independent RIA based in Newtown, Pennsylvania, that oversees almost $2 billion in assets under management for nearly 1,700 client households.

Certified Financial Planner

Certified Financial Planner CFP Education Financial Advisor

#FA Success Ep 340: Operating Agreement As Pre-Nup: Splitting Away From Ensemble Partnership To Launch Your Own Firm, With Melissa Joy

Nerd's Eye View

JULY 4, 2023

Melissa is the Founder of Pearl Planning, an independent RIA based in Dexter, Michigan, that oversees more than $175 million in assets under management for 251 client households. Welcome back to the 340th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Melissa Joy.

Financial Advisor

Financial Advisor CFP Clients Assets

#FASuccess Ep 406: Exiting To A Perpetual Purpose Trust To Facilitate Internal Leadership Succession Without Indebting G2 Advisors, With Michael Kramer

Nerd's Eye View

OCTOBER 8, 2024

billion in assets under management for 1,300 client households. My guest on today's podcast is Michael Kramer. Michael is the manager of Natural Investments, an RIA based in San Francisco, California that has offices across the country, overseeing $1.9

Financial Advisor

Financial Advisor Clients Distribution Planning

#FASuccess Ep 389: Generating $5M In Hourly Planning Fees In The Blue Ocean Of Consumer Demand, With Mark Berg

Nerd's Eye View

JUNE 11, 2024

We also talk about how Mark's firm attracts clients both through referrals from current clients and from other financial advisors who need to refer prospects who don't meet their asset minimums or whose planning needs don't match their expertise, why Mark created a client waitlist to manage his and his staff's capacity amidst a wave of interest from (..)

Planning

Planning Financial Advisor Financial Counseling Clients

Weekend Reading For Financial Planners (Dec 17-18)

Nerd's Eye View

DECEMBER 16, 2022

A recent survey suggests that Americans who use a financial advisor are less stressed than those who do not, but that the perceived price of advice is a deterrent to many (even those with significant assets).

Financial Planner

Financial Planner CFP Financial Advisor Retirement Planning

#FASuccess Ep 391: Improving Efficiency (In A Solo Practice) By Eliminating What Clients Don’t Really Care About Anyway, With Christopher Jones

Nerd's Eye View

JUNE 25, 2024

Chris is the founder of Sparrow Wealth Management, an RIA based in Orlando, Florida, that oversees approximately $110 million in assets under management for 68 client households. My guest on today's podcast is Christopher Jones.

Clients

Clients Financial Advisor Financial Planning Planning

#FASuccess Ep 412: 3X’ing The Business With No More Than 50 Great Clients By Hyperfocusing On Who You Can Add The Most Value For, With Anjali Jariwala

Identifying Your Own “Soft Assets” To Turn COIs Into Powerful Referral Champions

Webinars

Trending Sources

#FA Success Ep 336: Showing Prospects An (Asset) Map To Generate More Advice Engagement, With H. Adam Holt

Webinars

A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny

#FASuccess Ep 405: When Being ‘Youthful’ Turns From A Liability To An Asset In Building Your (Long-Term) Advisory Business, With Gaetano Sacco

Recognizing Emotionally Invested Team Members And Nurturing “Emotional Ownership” For A More Resilient Firm

#FASuccess Ep 426: Rolling Out An Equity Compensation Plan To Align The Entire Team On Client Service And Profitable Growth, With Jennifer des Groseilliers

#FASuccess Ep 421: Integrating Tax Preparation Without Hiring In-House CPAs To Bring More Tax-Focused Value, With Daniel Friedman

#FASuccess Ep 416: Avoiding The Compliance Headaches When Going RIA By Choosing A ‘Supported Independence’ Corporate RIA Platform, With Fran Toler

#FASuccess Ep 419: Attracting Clients Who Want To Align Their Investments With Their Values With A Sustainable Investing Approach, With Peter Krull

#FASuccess Ep 423: Expanding Across The Household By Helping (Affluent) Sandwich Generation Kids With Their Parents’ Financial Needs, With Cristina Livadary

#FASuccess Ep 430: Navigating The Fast-Growth Hiring Challenges Of Scaling From Scratch To $5M Of Revenue In Just 7 Years, With AJ Ayers

Kitces & Carl Ep 105: When A Prospect Doesn’t Meet Your Minimum: Navigating The Awkwardness Gracefully

#FASuccess Ep 422: Developing Your Leadership Skillset On The Path From Intern To President Of A $13B AUM Enterprise, With Kay Lynn Mayhue

DoL’s Retirement Security Rule & PTE 2020-02 Amendment: What Advisers Need to Know Now About Giving Rollover Advice After Sept 23, 2024

Why “Deferred Sales Trusts” Can Be A Risky Way To Defer Taxes On A Business Sale

#FA Success Ep 357: Building A High-Tech High-Touch Advisory Firm With The Modern Advisor Tech Stack, With Jon Henderson

How To Survive Your First SEC Audit: Preparing For The SEC Examination And Complying With The Information Request Letter

#FASuccess Ep 425: Implementing A Financial Planning Quality Control System To Improve Both Client Outcomes And Referrals, With Sebastian Guerra

#FASuccess Ep 403: Carving Your Path As An Investment Nerd By Building A Fractional CIO Solution For Other Advisory Firms, With Eric Stein

#FASuccess Ep 428: Leveraging (Salesforce) CRM To Really Systematize A Mid-Sized Advisory Firm, With Lorie Jones

Wealth.com Raises $30M To Provide Estate Documents To Advisors’ Clients (And More Of The Latest In Financial #AdvisorTech – October 2024)

#FA Success Ep 385: Unblocking Clients That Won’t Implement With A Journey Of Financial Health, With Danielle Howard

Advisory Agreement Statutory Requirements: What Advisors Need To Know To Stay Compliant

#FASuccess Ep 427: Finding The Director Of Operations That Can Rebuild Your Team To Get To The Next Level, With Sten Morgan

#FASuccess Ep 393: Taking The Risk Of A Multi-Million-Dollar Succession Loan To Make The Business What You Want It To Be, With Alex Lewis

#FA Success 291: Managing Fast Growth And Slow Growth Of A Planning-Centric Advice Firm, With Amy Irvine

Quantifying (More Accurately) The Real Impact Of A Financial Advisor’s Costs On Their Clients’ Nest Eggs

Advisory Agreement Statutory Requirements: What Advisors Need To Know To Stay Compliant

The Latest In Financial #AdvisorTech (March 2024)

Switching Between State And SEC Registration: Evaluating Options (And Requirements) For RIAs Nearing $100 Million RAUM

From Unprofitable To $115M AUM: Reinventing A 2nd Generation Advisory Business By Finding The Right Niche

#FA Success Ep 289: Coming Together As A Partnership To Serve Your Collective Community, With Kamila Elliott

The Latest In Financial #AdvisorTech (January 2024)

#FA Success Ep 360: Growing To 100+ Clients With $100M+ AUM With Intentionality To Leave Time For Family, With Suzanne Powell

#FA Success Ep 367: When Being In Business With Your Spouse Doesn’t Work Out And You Have To Start Over, With Kimberly Enders

#FA Success Ep 295: Systematizing A Planning Process To Maximize The Return On Life For Clients, With Shari Greco Reiches

The SEC Playbook For Newly-Registered Advisers: Preparing For The SEC Examination And Complying With The Information Request Letter

#FA Success Ep 353: Driving Growth By Setting A Clear Vision Of What You Do Best In Your Business(es), With Brett Danko

#FA Success Ep 340: Operating Agreement As Pre-Nup: Splitting Away From Ensemble Partnership To Launch Your Own Firm, With Melissa Joy

#FASuccess Ep 406: Exiting To A Perpetual Purpose Trust To Facilitate Internal Leadership Succession Without Indebting G2 Advisors, With Michael Kramer

#FASuccess Ep 389: Generating $5M In Hourly Planning Fees In The Blue Ocean Of Consumer Demand, With Mark Berg

Weekend Reading For Financial Planners (Dec 17-18)

#FASuccess Ep 391: Improving Efficiency (In A Solo Practice) By Eliminating What Clients Don’t Really Care About Anyway, With Christopher Jones

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