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Nerd's Eye View
MARCH 21, 2025
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a report from Cerulli Associates found that, amidst an industry-wide trend towards comprehensive financial planning and away from pure transaction-based investment management, asset-based fees currently represent 72.4%
Wealth Management
FEBRUARY 28, 2023
Mercer CEO Dave Welling says the new brokerage will help it better serve prospective clients and M&A prospects with long-standing commission-based assets at outside broker/dealers.
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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
Nerd's Eye View
JANUARY 24, 2025
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that while overall financial advisor headcount remains relatively flat, the RIA channel continues to gain share in terms of both headcount (as brokers break away to start their own independent firms and aspiring advisors seek (..)
Wealth Management
FEBRUARY 7, 2023
The commission claims Joshua Coleman raised more than $200 million in loans, opening multiple lines of credit and using clients’ funds without permission.
264 
Nerd's Eye View
MAY 9, 2023
Liz is the co-owner of Pleasant Wealth, a hybrid advisory firm based in Canton, Ohio that oversees $146 million in assets under management for 522 client households.
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Wealth Management
SEPTEMBER 25, 2023
trillion—with a "T"—with no evidence of any legitimate assets at all, according to the commission. Vista Financial Advisors registered in 2021 and soon claimed it managed more than $11.5
289 
Wealth Management
SEPTEMBER 25, 2023
Wellesley Asset Management failed to properly disclose that it used hypothetical performance in advertisements for an index it created, according to the commission.
277 
The Big Picture
APRIL 11, 2024
That changed on May 1, 1975, when the Securities and Exchange Commission mandated a change in commission structures. Costs continued to fall: Over the next 25 years, commissions would fall from about 1.0% They slowly accumulated some assets, but hardly moved the needle on Wall Street.
351 
Wealth Management
MAY 5, 2023
Classic Asset Management will pay more than $933,000 to settle charges with the commission. The settlement comes several months after the SEC’s Exam Division cited leveraged ETFs as a main area of focus.
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Nerd's Eye View
MAY 15, 2024
commissions), and who holds themselves out as a trusted adviser by either stating they are acting as a fiduciary or otherwise indicates that they are making individualized recommendations based on the investor's best interest.
246 
Mish Talk
DECEMBER 4, 2022
10, the Securities Commission of the Bahamas began steps to liquidate FTX Digital Markets, the unit controlling the company’s international exchange. The liquidators later ordered the transfer of the unit’s crypto assets to a digital wallet controlled by the Bahamian government. million in assets in FTX Turkey Teknoloji Ve Ticaret AS.
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Abnormal Returns
MARCH 20, 2024
peterlazaroff.com) Investing There's no magic rule for asset allocation. financialducksinarow.com) How homebuying is going to change with a new commission regime. (podcasts.apple.com) Peter Lazaroff talks with Manisha Thakor author of “MoneyZen: The Secret to Finding Your “Enough.” vox.com) Why you won't likely regret shedding stuff.
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Nerd's Eye View
OCTOBER 3, 2022
While the growth of DPL’s marketplace may itself usher in a greater level of annuity competitiveness, as companies are forced to compete for RIA attention not by offering the biggest commissions but by offering the best features and benefits to get through the RIA-as-gatekeeper.
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Mish Talk
DECEMBER 22, 2022
The Securities and Exchange Commission and Commodity Futures Trading Commission also sued Ms. Ellison, from 2019 to 2022, manipulated the price of FTT, a digital asset that FTX issued. Ellison then used FTX customer’s assets to repay Alameda’s debts, according to the complaint. The SEC said Ms. Mr. Wang and Ms.
203 
Nerd's Eye View
JULY 5, 2024
Supreme Court decision shifting authority to interpret laws passed by Congress from Federal agencies to the judicial system could have significant impacts on regulation of the financial advice industry, including the potential for additional legal challenges to regulations from the Securities and Exchange Commission (SEC), the Department of Labor (DoL), (..)
Truemind Capital
JANUARY 24, 2025
Too many products: If your portfolio has more than 20 products in varied proportions, then there is a high likelihood that your advisor is selling you new and new products that pay higher commissions than the existing ones. A balanced portfolio must have representation from at least the three major asset classes for weathering volatility.
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Nerd's Eye View
JANUARY 13, 2023
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Federal Trade Commission has proposed a nationwide ban on noncompete clauses in employee contracts, aiming to give employees more freedom to change jobs within the same industry.
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).
Nerd's Eye View
MAY 10, 2024
billion (thanks to expected reductions in commissions and the embedded costs in these annuities). could save retirement plan participants $55 billion over the next 10 years (due to an expectation of more low-cost fees being offered in plans) and those rolling over workplace plans into IRAs to purchase annuities another $32.5 Read More.
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.
Nerd's Eye View
MAY 22, 2024
With these factors in mind, the Federal Trade Commission (FTC) in April of 2024 announced a final rule banning most non-competes nationwide that is expected to take effect (pending legal challenges) on September 4, 2024.
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Nerd's Eye View
DECEMBER 6, 2023
While commission-based models remain in use, fee-for-service models (including AUM, hourly, retainer, and subscription) have become increasingly popular. how they should invest their savings or why one particular asset is better suited for their specific circumstances than another), they will need to register as an investment adviser.
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Nerd's Eye View
AUGUST 6, 2024
billion in assets under management for approximately 900 client households. Jaime is the Managing Principal of Benedetti, Gucer, and Associates and BEAM Wealth Advisors, hybrid advisory firms based in Atlanta, Georgia, and Covington, Louisiana that oversee a total of $1.2
130 
Good Financial Cents
JANUARY 16, 2023
Access to wide array of alternative asset classes Access to ultra-wealthy investments Can invest for income or growth Learn More Now. Because the platform holds various assets – real estate , cryptocurrencies , artwork , and more – the average user holds about seven investments. Unique Asset Classes. Yieldstreet IRA.
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Nerd's Eye View
NOVEMBER 28, 2022
From advisors who earn commissions from the sales of financial products to fee-only investment advisors who charge based on client assets under management, the value advisors provide to their clients has often been centered on investment management.
246 
Nerd's Eye View
NOVEMBER 28, 2022
From advisors who earn commissions from the sales of financial products to fee-only investment advisors who charge based on client assets under management, the value advisors provide to their clients has often been centered on investment management.
246 
The Big Picture
SEPTEMBER 5, 2024
He explains the impact of free capital, the subtle shift from value to growth, away from hard assets and towards intellectual property. billion in fee only asset flows for the full year 2013; 37% of Morgan Stanley wealth management’s total client assets are now in fee based accounts a record high.
Validea
JANUARY 13, 2025
We analyze Buffett’s key principles including: His famous “circle of competence” concept and how it both helped and potentially limited him The evolution of his investing strategy from “cigar butt” value investing to quality businesses His views on margin of safety and how it varies based on business quality Why he believes (..)
MarketWatch
JUNE 6, 2023
Securities and Exchange Commission on Tuesday asked a judge to grant a temporary restraining order to freeze assets tied to Binance.US. The agency on Monday charged Binance Holdings Inc. and its founder Changpeng Zhao with 13 securities law violations. The suit alleged that Binance created U.S.-only fall under U.S.
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Nerd's Eye View
SEPTEMBER 13, 2022
billion in assets managed by over 20 affiliated independent advisor businesses. My guest on today's podcast is Carolyn Armitage. Carolyn is the President of Thrivent Advisor Network, an RIA platform that offers partnership and affiliate models for financial advisors and oversees $6.5
Good Financial Cents
NOVEMBER 9, 2022
Having enough income-producing assets working in your favor can make it possible to “live rich” – or at least get by – without ever having to clock in for an employer again. These people have income-producing assets spinning off profits or dividends, and they use those funds to pay for their bills and lifestyle.
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Abnormal Returns
OCTOBER 25, 2022
dualmomentum.net) Which defensive assets perform best when the S&P is down? allocatesmartly.com) Commission rates have a big effect on retail trading behavior. (papers.ssrn.com) Why we need more impactful ESG data. institutionalinvestor.com) Research Why trade Bitcoin when you can trade the Nasdaq.
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The Big Picture
NOVEMBER 21, 2023
From staging to commission expenses, here’s what to expect. ( After returning $7B in profits to its LPs, Altimeter manages currently manages $10B in assets. Lots of baby boomers are going to sell their homes in the years ahead. The trick is to beat the crowd. The Week ) • The best place for product reviews is … Reddit?
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Darrow Wealth Management
NOVEMBER 4, 2024
Advisors affiliated with a bank, broker dealer, or large asset manager might not be able to make a fully independent recommendation. Most fiduciaries don’t sell products: Most fiduciary advisors are only paid by a percentage of assets they manage for clients.
Tobias Financial
MARCH 16, 2025
SEC registration does not constitute an endorsement of the firm by the Commission, nor does it indicate that the advisor has attained a particular level of skill or ability. The firm only transacts business in states where it is properly registered or is excluded or exempted from registration requirements.
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MarketWatch
JUNE 29, 2023
Fidelity Digital Assets has filed an application for a spot bitcoin exchange traded fund, after its previous filing was rejected by the U.S. Securities and Exchange Commission in 2022. Fidelity’s latest move follows similar filings by BlackRock, Invesco, Wisdom Tree, Valkyrie, and Bitwise.
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MainStreet Financial Planning
MARCH 7, 2025
The two most common pricing models are fee-only financial planners (flat-fee or fixed-fee advisors) and AUM-based financial advisors (who charge a percentage of assets under management). Unlike AUM-based advisors, they do not earn commissions or take a percentage of your investments. Are There Any Benefits to AUM-Based Advisors?
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Inside Information
JULY 25, 2024
billion in assets under management? Or that AssetMark is acquiring $12 billion in client assets from Morningstar? You might be interested to know that Arkadios Capital recruited a former LPL team that manages $850 million in client assets. Or here’s one: Blackrock expects active ETF assets to reach $4 trillion by 2030.
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Tobias Financial
MARCH 11, 2025
You want to be in stocks, but you also want to be in bonds, because all of these different assets arent going to act the same when we have these different downturns. By spreading investments across different asset classes and global markets, investors can be better positioned to withstand market turbulence and reduce overall risk.
Calculated Risk
NOVEMBER 26, 2024
A couple of participants observed that the banking system was sound but that there continued to be potential risks associated with unrealized losses on bank assets. A couple of participants noted concerns about asset valuation pressures in other markets.
124 
The Big Picture
JULY 17, 2023
Figure out a way to provide some sort of service, be it research or execution or asset management or even simply identifying those things everybody else has missed. – Degree of difficulty : 6/10 – Likelihood of success : 5/10 – Time Required : Whenever the next major reversal occurs 6.
246 
MarketWatch
MARCH 7, 2023
version of the global crypto exchange Binance, can move forward with absorbing customer accounts and around $1 billion in crypto from Voyager Digital, a judge said — despite objections from the Securities and Exchange Commission, the Wall Street Journal reported on Tuesday. Binance.US, the U.S.
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Truemind Capital
JUNE 21, 2024
All investments were in commission-based regular plans generating a commission of at least INR 50 LAKHS ANNUALLY for the wealth management company & client had NO idea of the hefty commissions going out every year. Usually, a new product offers a higher commission to distributors. 20 depending upon certain cases).
Harness Wealth
JANUARY 29, 2025
This strategy gives individuals the opportunity to reinvest in comparable but not “substantially identical” assets (as defined by the IRS), and maintain a similar portfolio exposure. The tax treatment of this loss will depend on how long the asset has been held. All of this adds up to a total tax saving of $5,550.
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