Abnormal Returns

DECEMBER 23, 2024

citywire.com) Compliance A comprehensive look at the books and record requirements for RIAs. (latticework.com) Q&A A Q&A with David Lau, founder and CEO at DPL Financial Partners. thinkadvisor.com) A Q&A with Ritik Malhotra, co-founder and CEO, of Savvy Wealth.

Financial Advising 147

Financial Advising Compliance CFP Retirement 147

XY Planning Network

SEPTEMBER 16, 2024

Keeping up with bookkeeping is mandatory for tax & regulatory compliance, informed decision-making, and accurate financial tracking. Your business could be audited at any point in the year, and having up-to-date books is essential to passing that audit. And remember, the earlier, the better to avoid the last-minute frenzy.

Compliance 81

Compliance Taxes Fee Only 81

The Big Picture

AUGUST 26, 2022

As often happens in these circumstances, the ex-employee’s book gets divided up among the remaining brokers, whose jobs that weekend becomes retaining those accounts and their assets. He has high client retention and has generated respectable performance for those customers.

Accounting 353

Accounting Government Assets Management 353

Nerd's Eye View

FEBRUARY 16, 2024

Read More.

Financial Planner 246

Financial Planner Fee Only Compliance CFP 246

Nerd's Eye View

SEPTEMBER 26, 2023

What's unique about Bridget, though, is how, as a solo advisor, she found herself overwhelmed with the pressures of having to manage different aspects of her business while also providing great service to her clients as she quickly grew to $77M of AUM in 7 years, and has decided to not to "scale" her firm by hiring more advisors but instead leverage (..)

Financial Planning 246

Financial Planning Financial Advisor Clients Planning 246

XY Planning Network

AUGUST 15, 2022

Let’s dive into several ways to keep your compliance organized beyond the filing cabinet. It can evoke a certain amount of nerves on its own (especially if it’s your first time!) Double that stress if you are not well organized.

Compliance 91

Compliance Fee Only Financial Advisor 91

Indigo Marketing Agency

FEBRUARY 19, 2025

Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business In the mid-2000s, digital marketing was just one of many mediums local businesses were starting to utilize to growalong with newspaper ads, phone book ads, direct mail ads, radio and TV ads, billboards, door-to-door sales, and more.

Financial Services 59

Financial Services Financial Planner Advertising Financial Advisor 59

Million Dollar Round Table (MDRT)

APRIL 30, 2024

You may face two challenges though: Compliance. You assemble the audience, book the location and deliver the presentation. They only want you to deliver preapproved, “canned” seminars. Building the audience. Speaking is fun, but filling the room for a seminar is hard work. She distinguished between two similar options: Seminars.

Financial Advisor 105

Financial Advisor Compliance Insurance Marketing 105

Sara Grillo

FEBRUARY 23, 2024

Question from a subscriber: “Compliance is impossible to get my content through. My financial advisor compliance department take forever and nitpick every little thing!” If you steer clear of the obvious violations, it’s actually pretty easy to get your content approved by your compliance officer.

Compliance 52

Compliance Financial Advisor Media Clients 52

Diamond Consultants

DECEMBER 16, 2024

Multigenerational teams have several options for monetizing and transitioning the book from one generation to the next. Namely, even when senior advisors have a rockstar inheriting advisor in place, these Gen 2 advisors seldom have the capital at hand to facilitate the purchase of the book in a timely and orderly fashion.

Wealth Management 52

Wealth Management Recruitment Retirement Valuation 52

The Big Picture

JANUARY 21, 2025

Two, I got my first Wall Street bonus three, I sold another book, which meant I got a big advance. It was just a struggle from day one, particularly in the regulatory environment that is the securities business between lawyers and compliance people. I contacted the journal about writing for them again, I also started working on a book.

Investing 147

Investing Investments Management Retirement 147

The Big Picture

SEPTEMBER 19, 2022

There’s a strong relationship between some of the ideas in the book and some of the ideas that inform our investing. RITHOLTZ: We’ll circle back to the book in a little bit. And from a public market, that sounds like it’s a compliance and conflict nightmare. And so now the point of the book is, guess what?

Valuation 305

Valuation Investing Investments Engineering 305

Sara Grillo

JULY 12, 2024

Make sure you clarify to the publication that you will need additional time for your compliance to approve the copy before it is published. Compliance will have to review the proposed changes before you send the final draft. Make sure you can include a byline.

Compliance 98

Compliance Media Consulting Clients 98

Steve Sanduski

JANUARY 22, 2025

Typically people build their books however they build their books, some affinity, some set of relationships, and then maybe they grow more via referrals. The advisors are like, ‘I’m full,’ and even if they have multiple advisors or a G2, okay, now you have to feed those people. So the pace is going to slow down.

Wealth Management 52

Wealth Management Management Clients Valuation 52

Indigo Marketing Agency

SEPTEMBER 28, 2024

This could involve offering a lead magnet, such as an e-book or a consultation, which captures the prospect’s contact information and triggers a series of targeted follow-up emails. What are the best practices for compliance in social media for financial advisors?

Financial Advisor 95

Financial Advisor Media Compliance Sales 95

Harness Wealth

DECEMBER 30, 2024

The key differences between 83(i) and 83(b) elections The benefits and risks of an 83(i) election The eligibility criteria for an 83(i) election How to file an 83(i) election 83(i) compliance requirements for companies Is an 83(i) election right for you? What is an 83(i) election?

Taxes 52

Taxes Compliance Compensation Planning Financial Advisor 52

Trade Brains

SEPTEMBER 22, 2023

Price to Book Value (%) 6.52 Price to Book Value (%) 2 Net Profit Margin (%) 8.24 Price to Book Value (%) 2.6 JP Morgan Holding (%) 2 Debt to Equity (%) 0 Price to Book Value (%) 0.3 Price to Book Value (%) 4.76 Price to Book Value (%) 4.76 Stock P/E (%) 55.16 ROE (%) 15.46 ROCE (%) 19.83 Cr in FY22 to Rs.

Portfolio Analysis 116

Portfolio Analysis Portfolio Healthcare Banking 116

Sara Grillo

MAY 31, 2024

sigh) Take these actions TODAY: There are very specific rules about how to actively solicit a Google review, from a compliance perspective. Ask your compliance officer or lawyer. And by the way, remember to consult with your compliance officer or lawyer before taking any actions regarding Google reviews.

Financial Advisor 59

Financial Advisor Clients Compliance Consulting 59

Midstream Marketing

DECEMBER 6, 2024

Compliance and Security for RIAs Compliance and data security matter a lot in the financial services industry. By focusing on compliance and security, you can earn your clients trust. This could take them to your website, help them book a consultation, or download a helpful resource. A lot of clients use these devices.

Marketing 52

Marketing Marketing Media Engineering 52

Sara Grillo

MAY 3, 2024

Love is a battlefield, and so is marketing compliance. There are no set formulas for avoiding this, and I’m not a lawyer so don’t take this as legal or compliance advise. Hire a professional compliance officer. Follow compliance’s guidance verbatim on how to present these.

Compliance 52

Compliance Financial Advisor Marketing Marketing 52

Harness Wealth

MARCH 27, 2025

Due diligence involves the following: Identifying potential tax risks: Its important to review the target fund’s tax returns, partnership agreements, and other relevant documents to identify any potential tax liabilities or compliance issues. The role of technology: Technology is increasingly the foundation of efficient tax compliance.

Taxes 52

Taxes Tax Planning Assets Compliance 52

Norman Marks

MARCH 1, 2023

I am pleased to announce that my latest book is now available on Amazon (see below). The intent is to help business leaders and information security practitioners discuss cyber risk in business rather than technical language, enabling executives and the board to make informed and intelligent business decisions.

Management 119

Management Compliance Government 119

Carson Wealth

DECEMBER 9, 2024

Still, this year will go down in the record books as a year that saw a lot of major milestones. Compliance Case # 02542778_120924_C The post Market Commentary: Stocks Hit New Highs Amid a Year of Milestones appeared first on Carson Wealth. A diversified portfolio does not assure a profit or protect against loss in a declining market.

Marketing 67

Marketing Marketing Economy Manufacturing 67

Indigo Marketing Agency

MARCH 19, 2024

Compliance: Consistently adhere to Securities and Exchange Commission (SEC) , FINRA , Regulation Best Interest , broker-dealer compliance , and state regulations for financial advisors. Events and business cards: Promote sign-ups with concise value propositions.

Financial Advisor 80

Financial Advisor Marketing Marketing Compliance 80

Trade Brains

NOVEMBER 4, 2024

The offer will be conducted through a book-building process and is scheduled to open on November 5, 2024, and close on November 7, 2024, and is expected to be listed on the bourses dated 12th November 2024. The IPO is done by companies to raise funds for their various corporate purposes and includes expansion and debt repayment.

Healthcare 52

Healthcare Clients Insurance Management 52

Harness Wealth

JANUARY 10, 2025

Crypto investors should consult a tax professional to ensure full compliance with IRS regulations. Sign up for our annual tax services to book a call with one of our advisors today. Make sure you keep detailed records for compliance purposes. Do You Need an LLC to Claim Tax Write-Offs? No, you dont. Are crypto gains tax-free?

Taxes 52

Taxes Assets Media Education 52

Trade Brains

SEPTEMBER 26, 2024

The company, in consultation with joint global coordinators and book-running lead managers, will finalize the minimum bid lot and price band. NSE also oversees compliance by its members and listed companies with relevant rules and regulations. The price per equity share will be determined closer to the offer date.

Compliance 90

Compliance Banking Management Risk Management 90

Sara Grillo

OCTOBER 21, 2022

He cold called over 500 financial planning companies over a year or so to get to a full book of clients. This e-book contains 47 financial advisor LinkedIn messages, sequences, and scripts , and they are all two sentences or less. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Discipline Funds

OCTOBER 6, 2023

Liars Poker was a book that both excited me about getting into the financial services industry and also made me deeply question the motives of people in the financial services industry. So I was surprised this week to see Lewis doing a book tour and framing Sam Bankman Fried as a good person who just flew too close to the sun.

Financial Services 76

Financial Services Compliance Government Economy 76

Sara Grillo

DECEMBER 16, 2024

Instead of trying to pitch lower fund fees or compliance, strike them in the heart. How advisors should approach small businesses about starting up a 401k plan After you inspire the business owner, then comes the typical conversation about fees, funds, and fiduciary not before. Business owner, do you care about your employees?

Financial Advisor 52

Financial Advisor Consulting Planning Retirement Planning 52

The Big Picture

JULY 26, 2022

He’s never taught before, and he’s kind of just reciting out of this strategy book. WEAVER: But if we can hit our target — RITHOLTZ: We all have compliance departments. Let’s talk about books. WEAVER: I — it’s funny, I ended up rereading like the same 10 books. I bought that book.

Consulting 298

Consulting Numbers Management Investing 298

The Big Picture

MAY 9, 2023

And whilst on a relative basis, those assets outperformed what was going on in a lot of other private firms, you know, it was certainly, I think we had 169 positions on the book at the time. RITHOLTZ: There was a book, I don’t remember if it was the 30s or 50s, “The Battle for Investment Survival.” Let’s talk about books.

Assets 299

Assets Clients Investing Investments 299

Sara Grillo

JUNE 7, 2024

I am an hourly consultant for those who just need one-time or recurring guidance People hire me as a ghostwriter to write content for a project fee I have a social media training program I have a book about what to say on LinkedIn messenger Thanks for reading. See you in the next one!

Financial Advisor 52

Financial Advisor Clients Executive Compensation Compliance 52

Harness Wealth

NOVEMBER 27, 2023

Core components of CAS involve bookkeeping, payroll, tax planning & compliance services customized for each client. Client Accounting Services are a comprehensive set of offerings provided by accounting firms to assist both individual and business clients in both compliance matters and day-to-day financial management.

Accounting 59

Accounting Clients Compliance Taxes 59

Trade Brains

SEPTEMBER 22, 2024

Maintaining a high CRAR ensures financial stability and regulatory compliance. Future Plans LIC Housing Finance The company aims to achieve double-digit loan book growth in FY25 by around 15%. LIC Housing will focus on growing its non-individual loan book, including builder loans and corporate loans. 58,937 crores last year.

Assets 96

Assets Portfolio Retail Planning 96

Trade Brains

FEBRUARY 28, 2024

The Company has been investing in the creation of a responsible AI that emphasizes responsibility, security, and compliance. Price to Book Value 11.65 Price to Book Value 3.91 Price to Book Value 12.15 Price to Book Value 7.58 Price to Book Value 6.34 Particulars Amount Particulars Amount CMP ₹ 6,593.4

Engineering 100

Engineering Government B2B Clients 100

Midstream Marketing

DECEMBER 10, 2024

When you create different client profiles, you will see which marketing tactics work best for your book of business. Navigating Regulatory Compliance in Marketing For financial advisors, it is very important to follow rules. One good practice is to have a compliance officer check and approve all marketing materials before sharing them.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52