Nerd's Eye View

JULY 31, 2024

Even firms with robust compliance programs that do a good job following their required policies and procedures can struggle with examinations if they don't have the information that examiners will ask for readily available.

Compliance 189

Compliance Ethics Advertising Clients 189

Nerd's Eye View

JULY 22, 2024

Good teams are valuable not just from a productivity standpoint (as they allow the firm to serve more clients); they can also be an asset when it comes to developing new business and attracting high-net-worth clients.

Clients 246

Clients Communication Compliance Management 246

Nerd's Eye View

JANUARY 26, 2024

Also in industry news this week: A House committee has advanced a bill that would extend several expired business-related tax measures from the Tax Cuts and Jobs Act and would increase the value of the Child Tax Credit The SEC released its examination priorities for 2024, which include a focus on advisers' adherence to their duty of care and duty of (..)

Financial Planner 246

Financial Planner Retirement Planning Financial Advisor Retirement 246

Nerd's Eye View

MAY 31, 2024

Going beyond FPA’s existing PlannerSearch tool, the narrowed-down list is meant to help consumers identify a focused subset of the most reputable planners.

Financial Planner 238

Financial Planner Ethics Financial Advisor Taxes 238

Nerd's Eye View

NOVEMBER 7, 2022

Hearsay Systems rolls out a new small-to-mid-sized RIA platform for social media compliance and website design. Riskalyze signals an intent to rebrand itself away from ‘just’ risk tolerance assessments to a broader focus on helping advisors grow clients and assets.

Risk Tolerance 241

Risk Tolerance Startup Compliance Clients 241

Midstream Marketing

NOVEMBER 26, 2024

Introduction In the busy world of financial services, asset managers and Registered Investment Advisors (RIAs) require solid marketing strategies to succeed. These methods include using technology, content marketing, and strategies that follow compliance rules. This includes using content marketing and sticking to compliance rules.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Nerd's Eye View

MAY 28, 2024

billion in assets under management for approximately 4,700 client households. My guest on today's podcast is Jenny Martella. Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Nerd's Eye View

MAY 28, 2024

billion in assets under management for approximately 4,700 client households. My guest on today's podcast is Jenny Martella. Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Nerd's Eye View

JUNE 4, 2024

Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. My guest on today's podcast is Freeman Linde.

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Nerd's Eye View

JUNE 4, 2024

Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. My guest on today's podcast is Freeman Linde.

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Indigo Marketing Agency

JANUARY 25, 2022

But as a financial advisor, how should you communicate with your clients about market volatility? But what’s the best way to communicate about the recent market events? Why You Should Communicate During Volatility. Proactive communication is good client service. Call if they have questions.

Communication 52

Communication Clients Marketing Marketing 52

Brown Advisory

JANUARY 20, 2023

When clients have assets in multiple countries, this task can become more complicated—not just in terms of long-term thinking, but also in ensuring they are compliant with all those countries’ tax codes. taxpayer must file an FBAR in any year that they have assets in financial accounts outside the U.S.

Accounting 100

Accounting Compliance Taxes Banking 100

Good Financial Cents

DECEMBER 14, 2022

Chief Compliance Officer. A chief compliance officer ensures financial institutions adhere to all applicable laws and regulations. To keep a business running smoothly and help avoid costly non-compliance fees, CCOs monitor company policy and compliance. Average salary: $114,832 per year. Insurance Advisor.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

Harness Wealth

APRIL 16, 2025

Why investors sought recharacterizations before 2018 Market volatility frequently triggered recharacterizations when converted assets suffered significant losses. Some investors even convert stable-value assets first to minimize market risk. This systematic approach ensures compliance and optimal tax outcomes.

Taxes 52

Taxes Retirement Retirement Planning Distribution 52

Investment Writing

NOVEMBER 20, 2024

Marketing and communications professionals know how to write well. Use the Oracle of Omaha When I push for plain language, sometimes my asset manager clients say they’re worried they’ll be seen as “dumb.” However, sometimes you struggle to get your firm’s executives to recognize the power of good writing.

Compliance 52

Compliance Communication Assets Investments 52

Indigo Marketing Agency

DECEMBER 18, 2019

That’s why top advisors outsource their marketing to proven professionals that understand our industry and compliance. . But which marketing companies for financial advisors will help you grow your assets under management (AUM) and which are a waste of money? Branding and Communications for Financial Advisors.

Financial Advisor 52

Financial Advisor Marketing Marketing Compliance 52

Midstream Marketing

NOVEMBER 26, 2024

Understand the importance of compliance in marketing for RIAs and explore best practices. Crafting impactful content and using the right communication tools is essential for their growth. Personalization in RIA Client Relationships: Testimonials That Resonate Tailored communication is very important in finance today.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Sara Grillo

JUNE 7, 2024

Nothing on this website shall be construed as compliance or legal advice of any sort; for such advice, consult with your compliance officer or attorney. This information is general in nature; for specific advice applicable to your current situation please contact a consultant or advisor.

Financial Advisor 52

Financial Advisor Clients Executive Compensation Compliance 52

Trade Brains

NOVEMBER 21, 2023

crores on June 22 Reason for imposing the penalty is for non-compliance with certain directions issued by RBI on ‘Loans and Advances – Statutory and Other Restrictions’ and the Advisory on ‘Man in the Middle (MiTM) Attacks in ATMs’ (the Advisory). Indian Overseas Bank Penalty imposed: ₹2.20 Bank of Maharashtra Penalty imposed: ₹1.45

Government 59

Government Banking Compliance Accounting 59

FMG

SEPTEMBER 7, 2022

“FMG has positively impacted my communications with clients and prospects.” “The FMG marketing portal has greatly streamlined the way we communicate with clients over the last 2 years!” ” ~Mike Musich @ Private Asset Advisory Group. I am thrilled to have creative ways to reach clients and prospects.

Communication 52

Communication Financial Planning Clients Wealth Advisor 52

FMG

OCTOBER 28, 2022

We gain trust by communicating subconscious signals with a person when we interact with them. You can even use the topics of existing blog posts to produce new video assets. A testimonial video can effectively communicate client experiences through videos. What will it be like working with you?

Financial Advisor 64

Financial Advisor Marketing Marketing Communication 64

SEI

AUGUST 17, 2022

SEI Family Office Services delivers technology and outsourced services, including the Archway Platform SM , that support the accounting, investment management, and reporting functions of family offices, private banks, private wealth advisors and alternative asset managers. trillion in assets. Head of Global Communications.

Financial Services 52

Financial Services Compliance Commission Assets 52

BlueMind

SEPTEMBER 3, 2022

Determining the client’s risk tolerance is not an exact science and requires you to communicate with your client. Related: Compliance and Automation – An Ideal Unison! Someone can be conservative by nature and exhibit a low willingness to take risks despite the fact they might have high amounts of assets and low liabilities.

Risk Tolerance 105

Risk Tolerance Clients Portfolio Financial Advisor 105

Steve Sanduski

AUGUST 27, 2024

You want every person, process, service offering, and communication tactic to maintain that focus on your ideal client. And so this is where we put things like technology optimization, strong operations, a culture of compliance, and core cybersecurity. Our third one is that operational excellence creates greater capacity for clients.

Strategic Planning 59

Strategic Planning Clients Communication Assets 59

Diamond Consultants

MAY 24, 2022

For others, it’s a “pull” or desire to do more for clients by becoming a true fiduciary—and enhancing service, support, technology, and communications in the process. Big firms tend to have a great deal of bureaucracy and cumbersome compliance requirements—a by-product of managing a huge advisor force. Better communication.

Clients 52

Clients Compliance Communication Investments 52

Diamond Consultants

JUNE 4, 2024

However, being reactive once you’re forced to deal with a compliance question is the last resort. Does your business include nondiscretionary assets? Signs of impending trouble that you shouldn’t ignore Management, legal, or compliance has asked a question. Are there tensions within the team, either with partners or with staff?

Compliance 52

Compliance Management Wealth Management Clients 52

Trade Brains

SEPTEMBER 17, 2023

The company has established itself in 3 business verticals, Consulting : Environment Impact Assessment, ESG and Climate Change, Environmental Compliance, Environmental Due Diligence, DPR and designing, Training and sensitization, Environmental crime investigation. Cr in FY21 and 12.37 In FY21 and FY23 the company generated revenue of 7.85

Consulting 59

Consulting Government Compliance Clients 59

Brown Advisory

JANUARY 20, 2023

When clients have assets in multiple countries, this task can become more complicated—not just in terms of long-term thinking, but also in ensuring they are compliant with all those countries’ tax codes. taxpayer must file an FBAR in any year that they have assets in financial accounts outside the U.S.

Accounting 52

Accounting Compliance Taxes Banking 52

Sara Grillo

AUGUST 25, 2023

I created this list of financial advisors for small accounts (less than $300,000 in assets) because there are alot of schmucks out there hawking crap products to people with portfolio of this size, and I don’t think it’s fair. The majority of my clients have very few assets outside of 401k, and home countries.

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

Brown Advisory

APRIL 20, 2022

The ambiguity surrounding securities levels is sometimes a point of frustration for NFP staff, especially in the valuing of less liquid, harder-to-ascertain level 2 and 3 assets. To help efficiently support the leveling process, we recommend a four-step process: 1. Define the type of investments involved, (e.g.,

Investment Advisor 52

Investment Advisor Investments Investing Nonprofit 52

Brown Advisory

DECEMBER 2, 2015

We work with clients to create—either in writing or verbally—a “mission statement” detailing how they want their assets to serve their well-being in coming decades. The “core” allocation is made up of a mix of assets aimed at stability and growth. By Taylor Graff, CFA, Asset Allocation Analyst.

Taxes 52

Taxes Clients Estate Planning Portfolio 52

International College of Financial Planning

JUNE 14, 2023

Experience Personal investment advisors or non-individual investment advisors’ chief officers should have at least five years of experience in financial product guidance, securities, funds, assets, or portfolio management. For individual investment advisors, the net worth should be a minimum of INR 5 lakhs in tangible assets.

Investment Advisor 52

Investment Advisor Investments Investing Certification 52

Inside Information

MAY 30, 2023

In the more comprehensive surveys, you will see the percentage or dollar revenues collected by each BD on annuity, life insurance and other product sales, vs. fees (defined by asset management fees, shared between the reps and the broker-dealer). The compliance people have to pre-approve their communications.

Communication 40

Communication Sales Insurance Compliance 40

Indigo Marketing Agency

MARCH 24, 2023

Expertise in Tax Planning & Compliance: A CPA can help you identify tax-saving opportunities and help keep your clients in compliance with tax laws, reducing the risk of costly penalties and fees. This can be a valuable asset to a CPA and can lead to a successful partnership. Explain how you can provide value to them (e.g.,

Financial Advisor 52

Financial Advisor Tax Planning Taxes Clients 52

Fortune Financial

SEPTEMBER 25, 2023

Your risk tolerance will influence your investment strategy and asset allocation. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities. Advisors charge a percentage of your total assets that they manage.

Wealth Management 59

Wealth Management Management Risk Tolerance Retirement Planning 59

Zoe Financial

APRIL 4, 2023

Therefore, inform your investment provider that you are a US citizen subject to the PFIC regime and intend to make a “Qualified Electing Fund or QEF” election under IRC 1295 on Form 8621 during the first year of asset reporting. income tax returns and Form 8621 reporting. In addition, with a knowledgeable U.S.

Retirement 40

Retirement Taxes Compliance CFP 40

Good Financial Cents

JANUARY 11, 2023

These individuals are essential to major banks worldwide, devising strategies to maximize assets while ensuring sound financial decisions are being made. Excellent communication and interpersonal skills. Credit analysts’ challenge is largely based on their ability to remain impartial when evaluating borrowers’ finances.

Banking 96

Banking Budgeting Portfolio Management Recruitment 96