Nerd's Eye View

DECEMBER 17, 2024

So, whether you're interested in learning about transitioning from a broker-dealer to a 'supported independence' model, how to choose among available corporate RIA platforms, or how a firm can generate prospect leads by being vocal about its values, then we hope you enjoy this episode of the Financial Advisor Success podcast, with Fran Toler.

Compliance 130

Compliance Financial Advisor Financial Advice Clients 130

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

MAY 22, 2024

Which could make it more advantageous for firms and advisors alike to consider a more equitable, cooperative approach than strict on-competes or non-solicits to deciding which clients an advisor can solicit if they do eventually leave the firm.

Financial Advice 246

Financial Advice Commission Clients Financial Advisor 246

Nerd's Eye View

JUNE 12, 2024

Which is why it's important for advisors thinking about joining a firm to consider the firm's culture and how well it trains its advisors (and reinforces the training) on exercising due care in giving financial advice. Read More.

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investing Investments 245

Nerd's Eye View

JANUARY 17, 2024

While it could be decades before we know those answers, at the moment, professionals across every industry, including financial advice, are working to learn how they can leverage this new and remarkable tool to make their practices more efficient. Read More.

Financial Advice 130

Financial Advice Financial Planning Planning Clients 130

Nerd's Eye View

DECEMBER 6, 2023

Ultimately, the key point is that understanding the intricacies of what it means to be an investment adviser, including the exceptions within the 'securities' component of the definition, is critical for financial coaches navigating the fine line between offering advice to clients and needing to register as an investment adviser.

Investing 246

Investing Investments Retirement Planning Financial Advising 246

Nerd's Eye View

AUGUST 24, 2022

While many IRAs include a clause in their advisory agreements limiting their liability in giving financial advice in good faith, the SEC and state regulators have recently been scrutinizing such ‘hedge clauses’ to the extent that they may be found impermissible going forward.

Electronics 242

Electronics Clients Retirement Planning Financial Advice 242