Nerd's Eye View

AUGUST 28, 2024

Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.

Assets 246

Assets Management Clients Compliance 246

Nerd's Eye View

APRIL 8, 2025

Seth is the founder of Heartwood Financial Planning, an advisory firm affiliated with PlanMember Securities Corporation that is based in Fresno, California, and oversees approximately $100 million in assets under management for 850 client households. Welcome to the 432nd episode of the Financial Advisor Success Podcast!

Financial Planning 130

Financial Planning Clients Planning Financial Advisor 130

Wealth Management

JUNE 5, 2023

billion in client assets to Creative Planning. The deal may be the largest acquisition of a CPA firm by an RIA, and brings 600 new employees and $2.5 It will be the foundation for a business-focused service division within the firm.

Planning 299

Planning Assets Clients 299

Wealth Management

SEPTEMBER 11, 2024

For an upfront purchase price of $50 million, the deal brings $47 billion of assets in the emerging and mid-market retirement plan segments and competitive ESOP administration.

Retirement Planning 281

Retirement Planning Retirement Planning Assets 281

Wealth Management

AUGUST 21, 2024

An often-overlooked tactic in estate planning.

Assets 283

Assets Retirement Estate Planning Planning 283

Nerd's Eye View

NOVEMBER 15, 2024

Also in industry news this week: NASAA has proposed an amendment to its broker-dealer conduct model rule that would restrict the use of the terms “advisor” and “adviser” for broker-dealers and their registered representatives who are not also investment advisers or investment adviser representatives A recent study suggests that (..)

Financial Planner 246

Financial Planner Asset Allocation Taxes Tax Planning 246

The Big Picture

JUNE 15, 2023

The firm’s release of How America Saves is chock full of data and charts showing how 401k savings have reached all-time highs at Vanguard; I expect other large plan managers like Fidelity and Schwab to be at or near similar levels. Vanguard is out with its annual deep dive into what its 5 million 401k participants are up to.

Planning 289

Planning Asset Allocation Management Assets 289

Wealth Management

APRIL 26, 2024

As clients become increasingly aware of the complexities of wealth transfer, asset protection and legacy planning, they expect comprehensive guidance from their advisors.

Wealth Management 292

Wealth Management Estate Planning Planning Management 292

Nerd's Eye View

JANUARY 21, 2025

Daniel is the CEO of WMGNA, a hybrid advisory firm based in Farmington, Connecticut, that oversees approximately $270 million in assets under management for 200 client households. My guest on today's podcast is Daniel Friedman.

Taxes 208

Taxes Tax Planning Financial Advisor Compensation Planning 208

Wealth Management

NOVEMBER 3, 2023

The new United Capital has $20 billion in total assets, 125 advisors, its own ADV and a management team pulled from both Creative Planning and Goldman Sachs.

Management 297

Management Planning Assets 297

Nerd's Eye View

DECEMBER 27, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that according to a recent study by DeVoe & Company, only 42% of RIAs surveyed have written succession plans and either have begun to implement them or have already done so.

Financial Planner 246

Financial Planner Insurance Coverage Insurance Valuation 246

Nerd's Eye View

FEBRUARY 18, 2025

Sebastian is the President of Guerra Wealth Advisors, a hybrid advisory firm based in Miami, Florida, with nearly $15M of revenue and almost 60 team members, supporting over 1,700 client households.

Financial Planning 147

Financial Planning Clients Planning Wealth Advisor 147

Nerd's Eye View

AUGUST 28, 2024

Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.

Assets 245

Assets Management Compliance Retirement Planning 245

Nerd's Eye View

SEPTEMBER 6, 2023

While asset protection is a popular planning topic for High-Net-Worth (HNW) and ultra-high-net-worth clients, those who are not HNW are susceptible to the same threats to wealth. Notably, certain client assets have built-in creditor protection without the use of (often expensive) products or tools.

Education 246

Education Assets Clients Estate Planning 246

Abnormal Returns

APRIL 1, 2024

Markets How major asset classes performed in March 2024. theverge.com) Generative AI search engine Perplexity is planning to start selling ads. capitalspectator.com) There has been a fair amount of equity return dispersion, YTD. mrzepczynski.blogspot.com) Strategy Why U.S. equity outperformance looks obvious in hindsight.

Assets 261

Assets Financial Advising Wealth Management Engineering 261

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%

Financial Planner 228

Financial Planner Commission Communication Clients 228

Wealth Management

JANUARY 10, 2025

A survey of DC recordkeepers found a large majority expect to see more financial advisors selling 401(k) plans with less than $5 million in assets.

Financial Advisor 260

Financial Advisor Retirement Planning Planning Retirement 260

Wealth Management

APRIL 6, 2023

CBRE IM and Accelerate Investment Partnership formed a joint venture to invest in ground leases under critical, digital and green economy infrastructure assets. Here’s what executives from the two companies told WMRE about their plans.

Assets 259

Assets Economy Planning Investing 259

Nerd's Eye View

NOVEMBER 29, 2024

Which could prove to be a boon for the financial advice industry as more consumers are willing to entrust their assets to an advisor (while at the same time possibly making it tougher for some advisors to differentiate themselves primarily by how they put their clients' interests first?).

Financial Planner 246

Financial Planner Financial Advice Retirement Financial Advisor 246

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 228

Financial Advisor Clients Financial Planning Planning 228

Nerd's Eye View

APRIL 2, 2025

For many financial advisors, a core part of the retirement planning process involves simulating whether the client's assets will last through retirement. That emotional connection supports confidence and increases the likelihood that the client will stick with their plan and stay committed through both good markets and bad.

Retirement 130

Retirement Clients Retirement Planning Marketing 130

Abnormal Returns

MARCH 10, 2025

kitces.com) Estate planning Estate plans are a big lift for everyone, including advisers themselves. kindnessfp.com) Why clients need to organize their digital assets for estate planning purposes. wealthmanagement.com) The number of cash balance plans are on the rise. abnormalreturns.com)

Estate Planning 162

Estate Planning Retirement Planning CFP Portfolio Management 162

Nerd's Eye View

FEBRUARY 25, 2025

Jennifer is the CEO of The Mather Group, an RIA based in Chicago, Illinois, that oversees $15 billion in combined assets under management and advisement for approximately 4,400 client households.

Compensation Planning 147

Compensation Planning Clients Planning Wealth Advisor 147

Wealth Management

MAY 30, 2024

Apollo’s products for individual investors are distributed through intermediaries such as bank wealth channels and registered investment advisers, and the firm doesn’t expect that to change.

Retail 223

Retail Assets Distribution Planning 223

Nerd's Eye View

APRIL 11, 2025

In addition, Atkins' arrival could also mean the end of the pending RIA outsourcing and custody rules proposed under Gensler, a reduced focus on monitoring advisors' off-channel communications, and a new regulatory framework for digital assets.

Financial Planner 162

Financial Planner Communication Commission Clients 162

Wealth Management

NOVEMBER 25, 2024

The deals with Southeast Financial Group, Radiance Private Wealth and Silvertree Retirement Planning are part of the Summit Growth Partners initiative and bring it to 16 strategic investments this year.

Retirement Planning 237

Retirement Planning Assets Retirement Planning 237

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 (..)

Financial Planner 246

Financial Planner Asset Allocation Clients Commission 246

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 233

Assets Financial Advisor Insurance Clients 233

Nerd's Eye View

MARCH 28, 2025

Also in industry news this week: A recent survey indicates that younger "DIY" investors are more likely to be interested in working with a human advisor than their older counterparts, suggesting an opportunity for advisors to tap into this demographic (perhaps by setting minimum planning fees that ensure these clients can be served profitably today (..)

Financial Planner 228

Financial Planner Retirement Retirement Planning Clients 228

Nerd's Eye View

MARCH 18, 2024

And the financial advisor who can find an overlap between their soft assets and the interests of a COI they'd like to connect with is much more likely to be successful in their outreach efforts. Often, sharing a connection through soft assets can be more valuable than the professional services of the COI – at least at first.

Assets 246

Assets Media Professional Services Financial Advisor 246

Nerd's Eye View

DECEMBER 17, 2024

Fran is the CEO of Toler Financial Group, an RIA based in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households. Welcome to the 416th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Fran Toler.

Compliance 245

Compliance Financial Advisor Financial Advice Clients 245

Wealth Management

JANUARY 15, 2025

RetirementDNA, a San Diego-headquartered advisory team with over $1 billion in assets under management, has joined Integrated Partners.

Retirement Planning 234

Retirement Planning Recruitment Retirement Planning 234

Wealth Management

JUNE 13, 2024

PGIM has been present in private credit for decades, but its plan for a major push is coming at a time when some of the industry titans are starting to worry if the boom is coming to an end.

Assets 225

Assets Marketing Marketing Planning 225

Nerd's Eye View

JUNE 11, 2024

In this episode, we talk in-depth about how Mark created a structured process to serve clients under the hourly model, including segmenting client engagements into 5 "levels" based on the complexity of their needs to match them with the right advisor, how Mark's firm uses those levels to provide accurate quotes for how many hours it will take to meet (..)

Planning 246

Planning Financial Advisor Financial Counseling Clients 246

Nerd's Eye View

MARCH 12, 2025

Because when it comes time to rebalance the portfolio to its asset allocation targets – or to reallocate the portfolio to a new strategy – any trades made to implement those changes can generate capital gains, resulting in tax consequences for the investor.

Taxes 147

Taxes Portfolio Asset Allocation Assets 147

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

Wealth Management

DECEMBER 15, 2023

Advisors are using Nebo to construct institutional quality, dynamic, real-time model portfolios that are personalized to each client, in a fraction of the time previously required.

Financial Planning 226

Financial Planning Assets Management Planning 226