Nerd's Eye View

JUNE 23, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that amid a flurry of SEC-proposed rules for investment advisers, the Investment Adviser Association this week called on the regulator to assess whether the compliance burden these regulations would put on advisers outweighs (..)

Financial Planner 246

Financial Planner Recruitment Compliance Financial Advisor 246

Nerd's Eye View

JANUARY 13, 2023

In the advisor world, where noncompete agreements are fairly common, a ban on the practice could incentivize firms to reassess their employee value proposition and to consider ways to establish their clients’ relationships with the firm, and not just with their advisors. Enjoy the ‘light’ reading! Read More.

Financial Planner 241

Financial Planner Retirement Planning Retirement Compliance 241

Nerd's Eye View

AUGUST 7, 2023

This month's edition kicks off with the news that estate planning platform Wealth.com has launched Ester, an AI-driven 'legal assistant' that uses machine learning to help advisors quickly review and extract the key information from clients' estate planning documents, as it joins FP Alpha in the competition to become 'Holistiplan for estate planning (..)

Estate Planning 246

Estate Planning Wealth Management Financial Advisor Planning 246

Nerd's Eye View

JUNE 7, 2023

Which makes it all the more important for IARs to ensure Form U4 is up to date and that the way they are presenting themselves to current and potential clients in public – including content on their website, advertisements, and social media post – aligns with their (also publicly available) regulatory disclosures!

Compliance 246

Compliance Advertising Media Investing 246

Midstream Marketing

DECEMBER 7, 2024

Key Highlights Use AI insights to understand and meet the preferences of each prospect and client. Improve client engagement while staying fully compliant with strong and integrated tools. This great teamwork helps advisors connect with clients meaningfully. This means connecting with potential clients on several platforms.

Compliance 52

Compliance Financial Advisor Clients Communication 52

Midstream Marketing

NOVEMBER 26, 2024

These methods include using technology, content marketing, and strategies that follow compliance rules. Why Marketing to RIAs is Important In the tough financial services world, RIAs need to focus on attracting and keeping clients. They can create brand awareness and build strong client relationships.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Nerd's Eye View

NOVEMBER 7, 2022

Hearsay Systems rolls out a new small-to-mid-sized RIA platform for social media compliance and website design. Riskalyze signals an intent to rebrand itself away from ‘just’ risk tolerance assessments to a broader focus on helping advisors grow clients and assets.

Risk Tolerance 241

Risk Tolerance Startup Compliance Clients 241

Midstream Marketing

OCTOBER 30, 2024

A strong brand identity is key to getting and keeping clients in this tough market. Websites, social media, and SEO offer great opportunities to connect with new clients online. They need to put in more effort to attract prospective clients looking for financial advice. They create trust and link with potential clients.

Investment Advisor 52

Investment Advisor Investments Investing Ethics 52

Midstream Marketing

DECEMBER 26, 2024

Introduction and Key Highlights In todays challenging landscape, standing out and building meaningful client connections is essential. Forefield Advisor Marketing is a powerful suite of tools for financial professionals, aimed at enhancing client engagement and driving business growth.

Marketing 52

Marketing Marketing Communication Advertising 52

Midstream Marketing

DECEMBER 6, 2024

Explore how to reach potential clients by using educational content and CRM systems. Discover how digital strategies like AI-driven personalization and strong social media campaigns can help. It helps them connect with clients and grow their business. Clients now want financial advice online.

Marketing 52

Marketing Marketing Media Engineering 52

Indigo Marketing Agency

FEBRUARY 19, 2025

Back in the day, financial planners used to be able to place ads in the local paper and Yellow Pages to get clients. Of course, this is a scenario that leaves zero time to actually serve financial practice clients and manage their money! Targeted Strategies: Reach your ideal audience with precision.

Financial Services 59

Financial Services Financial Planner Advertising Financial Advisor 59

Nerd's Eye View

JUNE 26, 2023

And when the acquiring firm is much larger than the selling firm, the much more rigid structure of the larger firm (particularly relating to compliance and personnel management) will almost inevitably conflict with a previously independent firm owner who is used to making their own decisions.

Compliance 246

Compliance Sales Planning Media 246

Midstream Marketing

JANUARY 19, 2025

Understand the significance of website optimization and social media engagement for client interactions. Gain insights on crafting your digital presence to target and engage with ideal clients effectively. Using social media, email marketing, and SEO strategies can take your marketing efforts to the next level.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

Midstream Marketing

DECEMBER 10, 2024

Key Highlights We will discuss how to build a strong brand identity and use referrals to attract clients. Learn how to tailor your messages for different clients. They must attract potential clients attention. When they achieve this, they can build solid relationships with potential clients and grow their business.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Midstream Marketing

NOVEMBER 6, 2024

Key Highlights Content marketing helps financial advisors stand out and earn trust from potential clients. When advisors share valuable content for a specific target audience, they can attract new clients and boost their online presence. Content marketing is a great strategic approach to find potential clients.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

Indigo Marketing Agency

SEPTEMBER 28, 2024

Why Your LinkedIn Campaign Sucks: What Advisors Are Missing As a financial advisor, LinkedIn can be an incredible tool to connect with potential clients, build your professional network, and establish your authority in the industry. Lack of a Sales Funnel Simply sharing content isn’t enough to turn a casual viewer into a client.

Financial Advisor 95

Financial Advisor Media Compliance Sales 95

Sara Grillo

JULY 12, 2024

Question from a subscriber: “ I want to start writing articles as a guest blogger to attract new clients. If you want to attract new leads who are likely to be qualified, go to your best clients and ask them what magazines or journals they read. Compliance will have to review the proposed changes before you send the final draft.

Compliance 98

Compliance Media Consulting Clients 98

Sara Grillo

MAY 31, 2024

Question from a subscriber: “ Should I spend some time asking my clients for Google Reviews? 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. Google rating.”

Financial Advisor 59

Financial Advisor Clients Compliance Consulting 59

Indigo Marketing Agency

JUNE 7, 2024

The world of digital marketing is ever-evolving, and social media stands out as an exceptionally powerful tool! Financial advisors can leverage this tool to connect with clients, build trust, and grow their business. But many advisors fall into common traps that hinder their social media success.

Media 52

Media Financial Advisor Compliance Advertising 52

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

Midstream Marketing

OCTOBER 31, 2024

During this time of digital transformation, social media and online channels play a huge role. They work closely with their clients to reach this goal. Financial marketing consultants focus on understanding the target market for each client. Introduction The financial services industry is changing quickly.

Consulting 52

Consulting Financial Market Marketing Marketing 52

Sara Grillo

JUNE 7, 2024

“I want to upgrade my client base and work with ultra high net worth individuals and Family Office clients. It depends on how high you go, but in some cases these types of clients function more as institutions than an as individuals – and their needs reflect that. How do I meet them?” That is the first step.

Financial Advisor 52

Financial Advisor Clients Executive Compensation Compliance 52

AdvisorPR

SEPTEMBER 28, 2023

Comprehensive, current, and actionable program trains members to engage with the media and use FPA MediaSource, the automated media query platform connecting financial planners and journalists. With an eye on supporting the needs of journalists, the Association introduced FPA MediaSource in 2016.

Financial Planner 52

Financial Planner Media Certified Financial Planner CFP 52

Harness Wealth

JANUARY 10, 2025

Tax advice is a common topic on social media platforms like TikTok. In this article, well separate the facts from the fiction regarding these social media claims, highlighting the difference between popular and professional tax advicea difference that can have profound consequences when dealing with the Internal Revenue Service.

Taxes 52

Taxes Assets Media Education 52

Indigo Marketing Agency

APRIL 4, 2024

In today’s digital age, social media isn’t just a platform for sharing cat videos and vacation photos—it’s a powerful tool for building your brand, connecting with clients, and growing your business. You also want to define clear and measurable goals for your social media efforts. Who are they? What do you hope to achieve?

Media 40

Media Financial Advisor Education Compliance 40

Sara Grillo

DECEMBER 16, 2024

Instead of trying to pitch lower fund fees or compliance, strike them in the heart. Do you think it would be the best thing for your business if Sheila who answers the phone of the trucking company, and who all your clients know by name, if she were still there in five months from now? Business owner, do you care about your employees?

Financial Advisor 52

Financial Advisor Consulting Retirement Planning Planning 52

Midstream Marketing

NOVEMBER 26, 2024

Understand the importance of compliance in marketing for RIAs and explore best practices. Why SEO Strategies Matter in Marketing to RIAs In the busy financial services world, investment advisors and asset managers must attract and keep clients. This way, they can build brand awareness and develop strong client relationships.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Sara Grillo

OCTOBER 21, 2022

Fee-only advisor – This is an advisor that does not charge commissions and hence is believed to be more aligned with the client’s best interests. A financial paraplanner is a junior wealth management professional who supports the research, operations, and client service activities of a financial planner. Was this helpful?

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Indigo Marketing Agency

APRIL 28, 2023

They often have trouble writing about themselves and the benefits they offer clients. Here’s an example of my LinkedIn tagline: Why Do Clients Choose You Over Competitors? Your LinkedIn profile summary is where you dig deep and think about why your clients choose to work with you, rather than a competitor that offers similar services.

Financial Advisor 98

Financial Advisor Clients Compliance Wealth Management 98

Midstream Marketing

JANUARY 19, 2025

. " In 2012, the SEC even made it beyond clear that this applied to not only statements made by advisers and their representatives, but to third parties on social media as well. This left a few questions concerning the new "review culture" that is taking place on the Internet, so the SEC further clarified things in 2014.

Advertising 40

Advertising Marketing Marketing Investment Advisor 40

Indigo Marketing Agency

MARCH 19, 2024

Using the right strategy, you’ll be able to attract new business, interact with current clients, and convert leads into customers. Having a growing email list is critical to always reaching a wide audience full of potential clients. Client enrollment phase: During the onboarding process, incorporate opt-in alternatives.

Financial Advisor 80

Financial Advisor Marketing Marketing Compliance 80

Indigo Marketing Agency

DECEMBER 13, 2024

Implementing effective marketing strategies can help you connect with ideal clients and grow your business. Enhance Your Online Presence With Service and Niche-Specific Pages Your website often serves as the first impression for potential clients. Here are three actionable marketing tips to hit the ground running in January: 1.

Marketing 52

Marketing Marketing Financial Advisor Compliance 52

Indigo Marketing Agency

JUNE 16, 2024

Though it’s a proven effective strategy to grow an advisor’s client base, it may not be for everyone. Have you considered utilizing webinars and courses to find more clients ?) In effect, our approach works by giving prospects information and tools to solidify our advisor clients as the de facto choice for managing their accounts.

Clients 52

Clients Marketing Marketing Engineering 52

Indigo Marketing Agency

DECEMBER 17, 2024

At Indigo Marketing Agency, weve helped advisors like Steve Seals grow by 40% in 2024, thanks to tailored solutions like a custom website that spoke directly to his ideal clients. Another advisor in Pennsylvania landed a client whose fees alone covered their marketing costs for the entire year. What made these success stories possible?

Planning 52

Planning Marketing Marketing Financial Advisor 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

Indigo Marketing Agency

MAY 3, 2021

We update your website and social media profiles for you. We create custom content each month that speaks directly to your ideal clients. We upload that content to your website, push it out on your social media channels, and blast it to your email lists. If you need to submit something to compliance, we do that too.

Financial Advisor 59

Financial Advisor Compliance Media Clients 59

FMG

SEPTEMBER 29, 2022

As technology evolves, so does the best way to reach clients and potential prospects. Some might argue posting it to social media as is and others might suggest cutting out the best parts for multiple posts. Some might argue posting it to social media as is and others might suggest cutting out the best parts for multiple posts.

Marketing 72

Marketing Marketing Media Advertising 72