Wealth Management

MAY 20, 2023

Preliminary results from a targeted exam indicated communications related to crypto asset securities products and services had four times the non-compliance rate of other kinds of products.

Communication 295

Communication Compliance Assets 295

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 246

Assets Financial Advisor Financial Planning Insurance 246

Carson Wealth

FEBRUARY 4, 2025

Understanding Tax Compliance and Risk Management Ultra-high-net-worth individuals face unique tax challenges, including high rates and ever-changing complex tax codes. While most taxpayers dont need to worry about estate and gift taxes, having significant assets can make them a challenge. And, if the U.S.

Risk Management 52

Risk Management Compliance Taxes Management 52

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 246

Compliance Ethics Advertising Clients 246

Nerd's Eye View

NOVEMBER 22, 2023

At that point, the definitive transaction documents are drafted, providing details around items such as equity and/or asset purchase agreements, a possible promissory note, and a bill of sale.

Compliance 246

Compliance Sales Financial Advisor Financial Planning 246

The Big Picture

MAY 20, 2023

The firm manages about $145 billion in client assets and is the world’s largest publicly traded hedge fund. Previously she was COO, General Counsel, Chief Administrative Officer, and Global Head of Legal and Compliance. Before joining the firm in 2010 as Chief Compliance Officer for Man GLG, Robyn held Sr.

Compliance 313

Compliance Communication Government Banking 313

The Big Picture

APRIL 15, 2023

 This week, we speak with Joseph Baratta , who since 2012, has served as Global Head of Private Equity at Blackstone – the world’s largest alternative asset manager, with $975 billion in assets under management. From Strength to Strength: Finding Success, Happiness, and Deep Purpose in the Second Half of Life by Arthur C.

Consulting 285

Consulting Compliance Assets Management 285

Nerd's Eye View

JUNE 17, 2024

Which suggests that advisers have an opportunity to leverage the power of online reviews, which can act as "evergreen referrals" and drive more prospects to seek out the firm’s services, all while adhering to their firm’s compliance requirements. Read More.

Financial Advising 246

Financial Advising Compliance Advertising Marketing 246

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

The Big Picture

AUGUST 26, 2022

Our previous discussions (debates really) were over the traditional model of brokerage I push back against versus the fee-based fiduciary asset management I embrace. This made me chuckle, as we had discussed this level of unsuitable and inappropriate asset management for years, with me offering an endless parade of examples.

Accounting 353

Accounting Government Assets Management 353

Abnormal Returns

JULY 17, 2023

standarddeviationspod.com) Charles Schwab Charles Schwab ($SCHW) clients with $1 million in assets now are automatically enrolled in one of its private wealth management programs. advisorperspectives.com) Think twice, compliance-wise, before jumping onto Threads. riabiz.com) Should advisers care about Schwab's expanded HNW services?

Wealth Management 246

Wealth Management Compliance Engineering Clients 246

Nerd's Eye View

NOVEMBER 6, 2023

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: FinanceHQ has launched as a new digital lead generation platform for financial advisors, which takes a more niche-focused approach to matching prospective clients with advisors – representing a bet that capturing prospects (..)

Compliance 246

Compliance Valuation Financial Advisor Clients 246

Nerd's Eye View

JULY 26, 2024

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.

Financial Planner 246

Financial Planner Retirement Communication Financial Advisor 246

Nerd's Eye View

MARCH 6, 2023

Which at best will still be a substantial uphill battle, given the hassle of switching from one financial planning platform to another (and the fact that most advisors are generally satisfied with their current financial planning software in the first place!).

Compliance 246

Compliance Financial Planning Planning Clients 246

Wealth Management

FEBRUARY 7, 2025

More choice in remotely managing heldaway retirement assets, Orion announces numerous updates at annual conference, Smarsh acquires audio compliance vendor.

Compliance 149

Compliance Retirement Assets Management 149

Nerd's Eye View

JULY 25, 2023

billion in assets under advisement. Rita is the Founder and President of Affiliated Advisors, a Super-OSJ with Royal Alliance that provides support to 90 financial advisors and collectively oversees $3.5

Financial Advisor 246

Financial Advisor Compliance Recruitment Insurance 246

Nerd's Eye View

FEBRUARY 17, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC is proposing to expand the adviser custody rule beyond securities and funds to cover all assets in a client’s portfolio, including private securities, real estate, derivatives, and cryptoassets.

Financial Planner 246

Financial Planner Fiduciary Duty Retirement Planning Compliance 246

Nerd's Eye View

MAY 5, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that the House Financial Services Committee unanimously passed a bill that would direct the SEC to conduct a study and carry out a rulemaking on the definition of a "small entity" to reduce the compliance burden on small businesses, (..)

Financial Planner 246

Financial Planner Financial Services Electronics Compliance 246

Nerd's Eye View

JANUARY 13, 2023

Also in industry news this week: A study suggests that simplification is the top reason consumers combine their investment accounts, signaling that the onboarding process for new advisory client assets is a value-add in itself.

Financial Planner 241

Financial Planner Retirement Planning Retirement Compliance 241

Abnormal Returns

OCTOBER 23, 2023

investmentnews.com) Compliance How to conduct and document an annual compliance review. kitces.com) The SEC's examination priorities for 2024 include the marketing rule and alternative assets. (advisorperspectives.com) Vanilla is rolling out more AI tools for estate planning.

Compliance 162

Compliance Estate Planning Financial Advice Financial Advisor 162

Wealth Management

FEBRUARY 7, 2025

More choice in remotely managing heldaway retirement assets, Orion announces numerous updates at annual conference, Smarsh acquires audio compliance vendor.

Compliance 130

Compliance Retirement Assets Management 130

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

SEPTEMBER 6, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the Treasury Department has finalized rules requiring most SEC-registered RIAs to implement risk-based Anti-Money Laundering and Countering the Financing of Terrorism programs, including a requirement to report suspicious (..)

Financial Planner 246

Financial Planner Tax Planning Compliance Financial Advice 246

Truemind Capital

FEBRUARY 16, 2024

We being a SEBI-regulated entity very well understand the importance of regulatory compliance. There is no denying that following the compliances is time-consuming, expensive, and hinders growth. Even we at Truemind crib sometimes that how much time and costs we have to spend on compliance.

Compliance 59

Compliance Financial Services Valuation Economics 59

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

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

FEBRUARY 16, 2024

Also in industry news this week: While AUM fees remain ubiquitous among fee-only advisors, recent data show that an increasing number leverage multiple fee models to meet different client needs and preferences While CFP Board has come out firmly in favor of the Department of Labor's proposed Retirement Security Rule, FPA has taken a more cautious approach, (..)

Financial Planner 246

Financial Planner Fee Only Compliance CFP 246

Nerd's Eye View

JUNE 28, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a recent study found that at a time when the number of SEC-registered broker-dealers and their registered representatives is declining, the number of SEC-registered RIAs, their assets under management, and the number of (..)

Financial Planner 189

Financial Planner Clients Compliance Numbers 189

Nerd's Eye View

MAY 3, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a recent study indicates that nearly a third of advisors in the independent broker-dealer channel have considered transitioning to the RIA channel during the past year as they seek higher payouts and not just "independence" but (..)

Financial Planner 246

Financial Planner Healthcare Retirement Financial Advisor 246

Nerd's Eye View

MAY 31, 2024

House of Representatives and is now being considered in the Senate would increase the number of firms classified as “small entities” and would require the SEC to assess the impact of proposed regulation on this newly enlarged class of investment advisers (which tend to have fewer compliance staff and resources available compared to larger (..)

Financial Planner 238

Financial Planner Ethics Financial Advisor Taxes 238

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

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

Nerd's Eye View

JANUARY 30, 2024

Tim is the founder of Goodwin Investment Advisory, an RIA based in Woodstock, Georgia, that oversees $275M in assets under management for 370 client households. Welcome back to the 370th episode of the Financial Advisor Success podcast ! My guest on today's podcast is Tim Goodwin.

Financial Advisor 246

Financial Advisor Clients Compliance Engineering 246

Don Connelly & Associates

MARCH 3, 2025

That includes compliance, marketing, business operations, financial management, and professional development. With time as one of your most valuable assets, its crucial to implement strategies tailored to help you prioritize your time and balance these competing priorities.

Financial Advisor 52

Financial Advisor Clients Management Compliance 52

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

MarketWatch

MARCH 30, 2023

million total — is for “unsafe or unsound practices” related to historical inadequate oversight of sanctions compliance risk at its Wells Fargo Bank N.A. trillion asset cap that was placed on it in 2018 by the Fed. WFC a combined $97.8 million for “deficient oversight” that allowed the bank to allegedly violate U.S.

Compliance 75

Compliance Banking Assets Marketing 75

The Big Picture

APRIL 6, 2023

We have regulatory and compliance obligations around what we say and do in public, and we do our very best to make sure that what we put out is accurate. RWM runs over $3 billion in client assets. I see all of the Google News headlines about the firm and its employees; I read every article about everything we do as a company.

Wealth Management 279

Wealth Management Portfolio Management Clients Portfolio 279