The Big Picture

JUNE 7, 2023

Weinstein, Woodline Partners Co-Chief Investment Officer Mike Rockefeller, Fernbridge Capita Management Founder Brennan Diaz and Knighthead Capital Management Co-Founder Thomas Wagner. Frame what’s going on in today’s environment and what’s it like managing a fund in this sort of circumstance?

Management 277

Management Investing Investments Economics 277

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 231

Assets Financial Advisor Insurance Clients 231

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 227

Financial Advisor Clients Financial Planning Planning 227

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. My guest on today's podcast is Amy Irvine.

Financial Planner 246

Financial Planner Management Planning Financial Advisor 246

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 236

Investing Investments Distribution Accounting 236

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.

Financial Advisor 141

Financial Advisor Clients Management Valuation 141

Nerd's Eye View

JANUARY 24, 2023

Jennifer is the CEO and a Senior Advisor for Milestone Financial Planning, an independent RIA based in Bedford, New Hampshire, that oversees $360 million in assets under management for 225 client households. My guest on today's podcast is Jennifer Climo.

Management 246

Management Financial Advisor Planning Retirement 246

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 130

Financial Advisor Clients Recruitment Certification 130

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 246

Financial Advisor Estate Planning Clients Education 246

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. Welcome to the 428th episode of the Financial Advisor Success Podcast !

Financial Advisor 130

Financial Advisor Certification Wealth Advisor Clients 130

Nerd's Eye View

JULY 10, 2023

At the same time, the business strategies that worked for the original owner might not be suitable or as successful for their successor, which can force the 2nd-generation owner to take a different path to ensure the firm thrives into the future.

Financial Planning 246

Financial Planning Retirement Planning Clients 246

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 244

Financial Advisor Investments Investing Financial Services 244

Nerd's Eye View

AUGUST 17, 2022

In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, lays out the statutory requirements for RIA advisory agreements and some of the essential elements for advisory agreements to include when describing the RIA’s services and fees.

Clients 246

Clients Assets Financial Planning Management 246

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 246

Compliance Ethics Advertising Clients 246

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 130

Financial Advisor Recruitment Investment Planning Planning 130

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 246

Assets Communication Financial Advisor Financial Planning 246

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 245

Financial Advisor Clients CFP Planning 245

Nerd's Eye View

OCTOBER 15, 2024

Mark is the Chief Investment Officer of Noble Wealth Management, an RIA based in Greenwood Village, Colorado, that oversees $320 million in assets under management for 160 client households.

Retirement 130

Retirement Portfolio Management Investing 130

Nerd's Eye View

FEBRUARY 18, 2025

In this episode, we talk in-depth about how Sebastian hired a team member to become a quality control specialist (and has now added a second) specifically to follow up with clients after meetings to ask about their experience with both their advisor as well as with other departments in the firm with which they interact (from the front desk to operations), (..)

Financial Planning 141

Financial Planning Clients Planning Wealth Advisor 141

Nerd's Eye View

SEPTEMBER 16, 2024

However, because many next-generation clients such as those who are Millennials and Gen Zers are still building their assets up, paying $10,000 or more in advisory fees each year may not be feasible for them… at least not yet. robo-managed portfolios) at a lower fee.

Clients 246

Clients Planning Tax Planning Management 246

Nerd's Eye View

AUGUST 17, 2022

In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, lays out the statutory requirements for RIA advisory agreements and some of the essential elements for advisory agreements to include when describing the RIA’s services and fees.

Clients 228

Clients Assets Financial Planning Management 228

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 246

Certified Financial Planner CFP Education Financial Advisor 246

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. Read More.

Assets 244

Assets Management Investing Investments 244

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.

Clients 242

Clients Financial Advisor Financial Planning Planning 242

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 246

Clients B2B Estate Planning Planning 246

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. Welcome back to the 367th episode of the Financial Advisor Success Podcast !

Financial Advisor 246

Financial Advisor Financial Planner Clients Food 246

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 246

Retirement Planning Startup Compliance Clients 246

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 246

Clients Financial Advice Financial Planning Financial Advisor 246

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 246

Startup Wealth Management Clients Portfolio 246

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 246

Financial Advisor CFP Clients Financial Planning 246

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. Welcome back to the 360th episode of the Financial Advisor Success Podcast !

Clients 246

Clients Financial Advisor CFP Wealth Management 246

Nerd's Eye View

FEBRUARY 5, 2024

Welcome to the February 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!

Estate Planning 246

Estate Planning Financial Planning Planning Wealth Management 246

Nerd's Eye View

DECEMBER 4, 2023

Envestnet has announced a partnership with Empower to offer a turnkey 401(k) plan management solution for advisors with small business owner clients – but it isn't clear whether making 401(k) plan management 'easier' will actually convince more advisors to manage 401(k) plans, given how advisors have largely been averse to 401(k) plan management (..)

Financial Advisor 246

Financial Advisor Clients Planning Distribution 246

Nerd's Eye View

OCTOBER 8, 2024

Michael is the manager of Natural Investments, an RIA based in San Francisco, California that has offices across the country, overseeing $1.9 billion in assets under management for 1,300 client households. Welcome to the 406th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Michael Kramer.

Financial Advisor 246

Financial Advisor Clients Distribution Planning 246

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 246

Planning Financial Advisor Financial Counseling Clients 246

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. My guest on today's podcast is Shari Greco Reiches.

Clients 245

Clients Planning Financial Advisor Financial Planning 245

Nerd's Eye View

MAY 7, 2024

Hannah is a partner and financial advisor at Lomanto Provost Financial Advisors, a hybrid advisory firm based in Plattsburgh, New York, that oversees approximately $150 million in assets under management for about 380 client households.

Banking 246

Banking Financial Advisor CFP Financial Advice 246