Sara Grillo

APRIL 11, 2022

He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. This e-book contains 47 financial advisor LinkedIn messages, sequences, and scripts , and they are all two sentences or less. Was this helpful? CFA designation, correct.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Brown Advisory

JANUARY 17, 2024

One of our informal measures of a good book is how many pages are dog-eared (corners are turned over) for the return reading. During 2023, one of our most beaten-up books was ‘What I Learned About Investing from Darwin’.2 Competition for capital is fierce; some companies thrive for a while, but only the best survive.

Investing 52

Investing Investments Portfolio Compliance 52

The Big Picture

MAY 23, 2023

And when we first booked you, you were like a junior analyst. So, GOG, discretionary portfolio management. Let’s round it up to 145 as much as my compliance people hate when I do that. Let’s talk about some of your favorite books and what you’re reading lately. The translators of these books, aren’t they gifted?

Clients 162

Clients Management Engineering Investing 162

Brown Advisory

AUGUST 14, 2023

One exciting opportunity this year has come from Annie Duke’s latest book Quit. This is much discussed in Robert Cialdini’s book Influence2 and we have addressed it in prior letters. Ray Dalio has a good schematic in his book Principles5 on how to think effectively. We have found a way to get better every year.

Investing 52

Investing Investments Portfolio Accounting 52

The Big Picture

AUGUST 20, 2024

So any compliance people listening, I’m just spitballing here. The second thing that it ultimately does is it creates conditions under which there’s a transition from cash rich portfolios that are ultimately option like in their characteristics. I’m gonna hold it in my portfolio. That’s Barry saying it.

Assets 173

Assets Management Portfolio Marketing 173

The Big Picture

MARCH 27, 2023

She was a partner and a portfolio manager at Canyon Capital, a firm that runs currently about $25 billion. Her book, “Damsel in Distressed: My Life in the Golden Age of Hedge Funds”, is really a fascinating read. I know I want to have a guest on with a book. You mentioned in the book Canyon Capital took a chance on you.

Assets 285

Assets Investing Investments Management 285

The Big Picture

OCTOBER 5, 2024

She wrote the book In This Economy How Money and Markets really work. I’ve been looking forward to this since I got the book over the summer. 00:04:50 [Speaker Changed] Did the pandemic and being locked down at home lead to you writing this book? And I ended up deciding to focus fully on the book. For a year.

Economy 162

Economy Education Insurance Economics 162

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. For advise on such matters, contact a legal or compliance advisor.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

FEBRUARY 28, 2023

One of the things we haven’t talked about, if you’re appealing more to individual investors, typically, that comes along with regulation and compliance standards and oversight from the government — LAYTON: Yup. RITHOLTZ: Tell us about some of your favorite books and what you’re reading right now.

Investing 147

Investing Investments Clients Assets 147

Sara Grillo

FEBRUARY 13, 2023

In a book I just wrote, I talk about how active is evolving. Senator Dan Sullivan of Alaska proposed that portfolio managers or portfolio management companies are not allowed, should not be allowed to vote proxies of index funds. Nothing within this content constitutes legal investment or compliance advice.

Investing 72

Investing Investments Clients Portfolio 72

The Big Picture

MARCH 21, 2023

Around 1990, value says in the original metrics, and I think they’ve advanced since then, price-to-book was the famous one Fama and French use. I was a fixed income portfolio manager and trader, which is a ton of fun. PIMCO out on the West Coast, read the first thing I wrote in the Journal of Portfolio Management.

Valuation 173

Valuation Investing Investments Numbers 173

Indigo Marketing Agency

MARCH 24, 2025

AI-powered tools are transforming various facets of advisory businesses, including client engagement, portfolio management, compliance, and more. Saifr: Offers AI-assisted content creation tools designed to ensure compliance with financial regulations. Book a strategy session today.

Financial Advisor 52

Financial Advisor Compliance Communication Wealth Management 52

Carson Wealth

DECEMBER 23, 2024

and 66.7% (but note those numbers will improve once this year is in the books). For one thing, PCE inflation is elevated right now because of lagging shelter data and financial services (thanks to portfolio management services inflation driven by higher stock prices). But when there is an SCR, those numbers jump to 10.4%

Marketing 65

Marketing Marketing Economy Economics 65

The Big Picture

MAY 21, 2024

So we’re now in an environment where all the 45-year-old portfolio managers out there have been, have worked their entire careers in these momentum fueled markets, and they’ve been trained to believe that valuation doesn’t matter. Let’s talk about books. I love 01:11:05 [Speaker Changed] That book.

Numbers 147

Numbers Management Banking Marketing 147

The Big Picture

NOVEMBER 25, 2024

You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up. Same con, we do the same concept in institutional portfolio management in portable alpha, but instead of using a mortgage, you use derivatives like futures and swaps.

Portfolio 147

Portfolio Management Marketing Marketing 147

The Big Picture

JANUARY 14, 2025

Maybe we should do this out from under the compliance regulations of a broker dealer? You were a portfolio manager, researcher head of trading, and apparently tech geek putting machines together. And I’ve interviewed hundreds if not thousands of portfolio managers and worked with develop many strategies of my own.

Management 147

Management Investing Investments Assets 147

The Big Picture

JUNE 3, 2024

At TCW Barry Ritholtz : You were at the Trust company of the West, you’re a senior vice president, you’re a portfolio manager, you’re a quantitative analyst. Let, let’s talk about books. But if you read the whole book, he’s pretty caustic at the end, right? Signs him, right?] Yeah, yeah.

Math 147

Math Marketing Marketing Engineering 147