This site uses cookies to improve your experience. To help us insure we adhere to various privacy regulations, please select your country/region of residence. If you do not select a country, we will assume you are from the United States. Select your Cookie Settings or view our Privacy Policy and Terms of Use.
Cookies and similar technologies are used on this website for proper function of the website, for tracking performance analytics and for marketing purposes. We and some of our third-party providers may use cookie data for various purposes. Please review the cookie settings below and choose your preference.
Used for the proper function of the website
Used for monitoring website traffic and interactions
Cookies and similar technologies are used on this website for proper function of the website, for tracking performance analytics and for marketing purposes. We and some of our third-party providers may use cookie data for various purposes. Please review the cookie settings below and choose your preference.
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.
353 
Wealth Management
JULY 30, 2024
The milestone validates Captrust’s business model and growth of the registered investment advisor space.
106 This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
Crafting Impact: Revenue Growth And Efficiency For Finance Professionals
Avoiding Lease Accounting Pitfalls in 2025: Lessons Learned from Spreadsheet Errors
Profit in the Details: Rethinking Spend for Monumental Impact
Fall In Love With the Month-End Close
Next-Level Fraud Prevention: Strategies for Today’s Threat Landscape
Wealth Management
MARCH 9, 2023
With $400 million in assets, Cornerstone is the 15th acquisition in PCIA history and builds on roughly 500% growth in just five years.
Crafting Impact: Revenue Growth And Efficiency For Finance Professionals
Avoiding Lease Accounting Pitfalls in 2025: Lessons Learned from Spreadsheet Errors
Profit in the Details: Rethinking Spend for Monumental Impact
Fall In Love With the Month-End Close
Next-Level Fraud Prevention: Strategies for Today’s Threat Landscape
Abnormal Returns
JANUARY 26, 2023
(bloomberg.com) NEA is becoming a registered investment advisor. investmentnews.com) Why ETFs continue to gobble up new asset classes. axios.com) The downside of using special purpose vehicles. fastcompany.com) Funds Franklin Templeton ($BEN) has been on a deal making tear but it hasn't moved the needle on the stock.
245 
Wealth Management
MAY 17, 2023
After growing nearly 800% in five years, PCIA plans to move about $1 billion in client assets to Goldman Sachs to improve custodial services and access.
Nerd's Eye View
SEPTEMBER 20, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the North American Securities Administrators Association (NASAA) released the latest edition its annual survey outlining the state of state-registered RIAs, showing that the number of state-registered firms and their assets (..)
Wealth Management
JULY 12, 2023
Executives say the funding will fuel the next stage of growth for PCIA, which has already expanded assets by some 700% since early 2018.
Wealth Management
MARCH 29, 2023
The Department of Justice also charged Surage Roshan Perera of wire fraud, investment advisor fraud and money laundering, for allegedly defrauding an unnamed investor.
105 
The Big Picture
JANUARY 19, 2024
The digital investment advisor manages over $40 billion in assets for 800,000 clients. All of our earlier podcasts on your favorite pod hosts can be found here. Be sure to check out our Masters in Business next week with Sarah Kirshbaum Levy , CEO, Betterment.
183 
Advisor Perspectives
OCTOBER 6, 2024
For registered investment advisors and others who provide financial advice, autumn is the start of a season loaded with opportunity.
A Wealth of Common Sense
SEPTEMBER 1, 2023
Rob Isbitts at ETF.com says Jerome Powell’s speech at Jackson Hole is bad news for 60/40 investors: For nearly two decades, investment advisors and self-directed investors came to understand and appreciate “asset allocation” as a complementary combination of stocks and bonds.
129 
Wealth Management
MARCH 7, 2024
Cornerstone Advisors, a Baxter, Minn.-based based team with about $360 million in client assets, joins from Cetera Investment Advisors.
The Big Picture
AUGUST 9, 2024
Named one of the 25 most influential people by Investment Advisor, his breakthrough book, “ What Investors Really Want , ” changed how we view investor motivations. This week, we speak with Meir Statman , the Glenn Klimek Professor of Finance at Santa Clara University.
Brown Advisory
SEPTEMBER 6, 2022
Asset Allocation: Developing a Long-Term Investment Strategy for Mission-Driven Organizations. When putting a plan in place, we believe it is critical for any mission-driven organization to develop an effective, long-term asset allocation strategy to manage its endowment assets. Tue, 09/06/2022 - 10:30. 70–90% vs. 80%).
Wealth Management
JULY 31, 2024
based registered investment advisor with over $1.35 billion in client assets and 25 employees. Rodgers & Associates Wealth Advisers, a Lancaster, Pa.-based
The Big Picture
APRIL 6, 2023
RWM runs over $3 billion in client assets. Ritholtz Wealth Management is a registered investment advisor or RIA. As assets come into the firm, we buy funds for the clients that are in mutual funds, and pro-rata stocks for the clients that use direct indexing. You should always steer clear of these sorts of junk stories.
International College of Financial Planning
JUNE 14, 2023
Are you passionate about investments? If so, you can turn your passion into a profession by becoming a SEBI-registered investment advisor. SEBI has introduced guidelines for individuals aspiring to become investment advisors in India. This blog post will provide all the necessary information on this topic.
International College of Financial Planning
JULY 31, 2023
Let’s explore the role of investment advisors in helping individuals avoid these pitfalls and make informed decisions. By becoming an investment advisor, you can assist others in achieving their goals and strengthening your own financial journey. By diversifying investments advisors can help with asset allocation.
Nerd's Eye View
NOVEMBER 28, 2022
Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.
222 
Mullooly Asset Management
OCTOBER 20, 2022
In this week’s video, Tom references a survey done by AARP that shows 45% of people would rather go to the dentist than meet with an investment advisor. People deserve complete transparency when working with an investment advisor.
Nerd's Eye View
NOVEMBER 28, 2022
Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.
215 
Wealth Management
AUGUST 2, 2022
Heber Fuger Wendin Investment Advisors, with $8.6 billion in assets, brings to Mariner its client roster of community banks and credit unions.
98 
The Big Picture
MARCH 31, 2023
Embattled First Republic Bank is no longer searching for a buyer as investment advisors and company executives seek to repair the company’s balance sheet before any sale might take place, FOX Business has learned. ( trillion asset manager of TIAA. Wall Street Journal ) • First Republic Bank is not currently looking for a buyer.
163 
Abnormal Returns
MARCH 27, 2023
allaboutyourbenjamins.com) Jack Forehand and Justin Carbonneau talk with Ehren Stanhope of O'Shaughnessy Asset Management about the ins and outs of direct indexing. marknewfield.substack.com) A Q&A with Donna Rasile, Senior VP and Investment Advisor at FinTrust Capital Advisors, about her path through the industry.
International College of Financial Planning
NOVEMBER 10, 2021
There is great demand for Investment Advisor professionals in India and here we look at the various Investment Advisor Courses and Training Programs that you can take. The demand for Investment Advisors has been constantly rising over the last two decades.
Advisor Perspectives
MAY 23, 2024
The promise of independence is luring more and more advisors to the Registered Investment Advisor (RIA) channel. RIA headcount has grown rapidly over the past decade and by 2027, Cerulli estimates that RIAs will control nearly one-third of intermediary asset market share.
Random Roger's Retirement Planning
JULY 19, 2022
I'm not sure the precise context of what he meant but in terms of applying the idea to what retail investors and investment advisors could access, the list could include, gold miners with no proven reserves, uranium miners with no proven reserves, a biotech with an unapproved drug with tremendous promise and so on.
74 
Brown Advisory
APRIL 20, 2022
Good Preparation Leads to a Good Audit Experience: What to Expect from Your Investment Advisor mhannan Wed, 04/20/2022 - 06:03 After an extended period of strong returns that began in 2009, many not-for-profit (NFP) organizations find themselves increasingly challenged to earn the traditional target of an inflation-adjusted 5% annual spending rate.
Nerd's Eye View
APRIL 11, 2023
Thomas is a Senior Partner for Signature Estate & Investment Advisors, an independent RIA based in Los Angeles, California, that oversees nearly $16 billion in assets under management, with $570 million of those assets being managed by Thomas' practice that serves more than 250 client households.
130 
The Big Picture
MAY 11, 2023
SAVE THE DATE: Future Proof 2023, September 10-13 Future Proof will feature over 100 industry-leading speakers, innovators, and disruptors building the future of wealth management, including: Morgan Housel , Partner, The Collaborative Fund Adam Nash , Co-Founder & CEO, Daffy David Goodman , Producer & Writer, Family Guy, Futurama, The Orville (..)
The Big Picture
JANUARY 27, 2024
The digital investment advisor manages over $40 billion in assets for 800,000 clients. Because that’s how you capture it all. ( The Athletic ) Be sure to check out our Masters in Business this weekend with Sarah Kirshbaum Levy , CEO, Betterment.
148 
BlueMind
NOVEMBER 24, 2022
Registered Investment Advisors versus Broker-Dealers The bigger the wealth, the more complicated it is to manage it. Over the recent years, these clients are more inclined to prefer registered investment advisors (RIA) over broker-dealers to manage their affluence, and understandably so. In fact, the 2017 U.S.
98 
Ballast Advisors
MARCH 15, 2023
When working with a Registered Investment Advisor (RIA), investors may have heard the term “custodial relationship.” ” This refers to a partnership between the RIA and a financial institution that acts as the custodian of the client’s investment assets.
75 
Trade Brains
OCTOBER 25, 2024
The company is also planning to operate an asset management company (AMC) within 6 to 9 months. The company’s gross non-performance asset ratio has increased to 2.11% as compared to last year’s same quarter, which was 1.93%. The company’s net non-performance asset ratio also decreased from 0.57% in Q2 FY24 to 0.64% in Q2 FY25.
98 
Cornerstone Financial Advisory
MARCH 18, 2024
.” – Fred Rogers 4 Facts About Capital Gains When you sell a capital asset, such as an investment or a piece of property, the sale can result in a capital gain or loss. The IRS defines a capital asset as “most property you own for personal use or own as an investment.” a Registered Investment Advisor.
105 
Advisor Perspectives
JULY 16, 2024
Since carriers are still digesting and figuring out how they want to cover DA, investment advisors should focus on working with a broker who understands this space. What was true six months ago, can easily be different now and in further down the road.
40 
James Hendries
MARCH 13, 2023
Instead, we got a shockingly fast collapse of a financial institution with over $200 billion in assets, which turned the market’s focus toward the stability of the banking system and what systemic risks banks might be facing. Investing involves risks including possible loss of principal.
52 
Carson Wealth
AUGUST 25, 2022
A personal balance sheet should record assets (items you own, use or enjoy) and liabilities (amounts you owe institutions or other people). Consider breaking assets into three columns: cash, investment assets and personal property. Liabilities can be broken into secured and unsecured categories.
Yardley Wealth Management
JUNE 6, 2023
Here are some additional details and keywords to help guide you: Estate planning involves creating a plan for the management and distribution of assets after death. This plan can include a living trust, a legal document that allows assets to pass to beneficiaries without going through probate court.
International College of Financial Planning
JULY 10, 2023
How Investment Advisors Play a Significant Role in Managing Finances? The field of investment advisory presents a world of opportunities for individuals passionate about finance and investments. Their primary objective is to help clients make informed investment decisions, manage risks, and achieve financial objectives.
International College of Financial Planning
AUGUST 31, 2023
However, relying on a single asset class or Investment within an Asset class can be risky and limiting. This is where diversifying your investment portfolio comes into play. Diversifying your investment portfolio is a vital strategy for managing risk, optimizing returns, and achieving your financial goals.
52 
Darrow Wealth Management
NOVEMBER 4, 2024
For non-fiduciary financial advisors, recommendations may only need to be suitable , not necessarily in the client’s best interest. Hybrid firms can switch between their status as a registered investment advisor and brokerage, which can be problematic for individuals seeking unbiased financial advice.
Truemind Capital
SEPTEMBER 13, 2024
The investments were all over the place and he was not even sure if all the assets were accounted for. A family member who worked hard to save the assets in the hope of a better future for others. – Maintain information on your real estate investments in digital and physical files.
64 
Tobias Financial
AUGUST 5, 2024
Our inclusion in this list, which evaluated over 40,000 firms to identify the top 300 independent Registered Investment Advisors (RIAs), underscores our commitment to excellence in the wealth management industry. Substantial Planning Clientele: Indicates a focus on comprehensive financial planning rather than simple asset management.
Expert insights. Personalized for you.
We have resent the email to
Are you sure you want to cancel your subscriptions?
Let's personalize your content