Business Planning Ethics Planning 
Nerd's Eye View
JUNE 21, 2023
All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.
Nerd's Eye View
OCTOBER 3, 2022
From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: Ethic Investing raises a $50M Series C round as values-based “personalized indexing” through direct indexing tools continues to gain momentum.
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Nerd's Eye View
NOVEMBER 7, 2023
We also talk about how, amidst onboarding 52 new clients in a single year (due to the success of her 3-question approach), Veronica developed a blueprint that all new clients would go through in their first year with the firm that leverages a more modular approach to planning and stretches out the planning work (for the client, and her own team) over (..)
Nerd's Eye View
SEPTEMBER 13, 2022
Vest and Financial Network to improve upon or outright establish new advisory platforms within their existing brokerage businesses, and how in three short years, Carolyn built a new training and development platform for LPL’s largest advisors – helping them recruit and retain advisors, create better compensation packages, and even build (..)
Nerd's Eye View
JULY 31, 2024
At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.
Nerd's Eye View
JULY 31, 2024
At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.
Nerd's Eye View
FEBRUARY 13, 2024
Melody is the president of Townsend Financial Planning, an RIA based in Lexington, KY, that oversees $112 million in assets under management for 160 client households. Welcome back to the 372nd episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Melody Townsend.
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