Nerd's Eye View

APRIL 25, 2023

that oversees $143 million in assets under management (AUM) for nearly 75 client households. Ari is Managing Partner of Values Added Financial, an independent RIA based in Washington, D.C.,

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Management Financial Advisor Clients Ethics 246

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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Commission Financial Planning Ethics Planning 246

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.

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Clients Certified Financial Planner Financial Advisor Financial Planner 130

Million Dollar Round Table (MDRT)

AUGUST 13, 2023

You’re ethical. You and the client are on the same side of the table. Honest clients want to work with other people who share that value. This can be a career-ending event for the client, even if the advisor was the source. Clients want someone who knows and follows the rules. Confidentiality. Communication.

Financial Advisor 98

Financial Advisor Clients Ethics Communication 98

Nerd's Eye View

DECEMBER 19, 2022

This summer, the Financial Planning Association (FPA) announced a new multi-year advocacy goal to pursue legal recognition for the title of "Financial Planner", as a means for bona fide financial planners to distinguish themselves and their services from others (who may use the title but don't actually do financial planning), to help consumers understand (..)

Financial Planner 243

Financial Planner CFP Certified Financial Planner Financial Planning 243

NAIFA Advisor Today

JUNE 29, 2023

Additional Examples from Our Code of Ethics to Support Our Clients An event that clearly supports the NAIFA commitment to diversity, equity, and inclusion occurs annually and was held in May at the J.W. Marriott, 1331 Pennsylvania Avenue NW in Washington, D.C.

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Ethics Clients Investments Investing 52

Sara Grillo

APRIL 21, 2022

So here’s a blog about some things that ethical financial advisors do in the hopes they will serve as an example of right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. The following case studies serve as examples of ethical actions taken by financial advisors.

Ethics 52

Ethics Financial Advisor Clients Management 52

Envision Wealth Planning

MAY 23, 2022

Ethical financial advisors are on the rise and are now doing things within their businesses with the hope to serve as an example of the right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. You’ll have to do your own research to determine if these advisors really are ethical.

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Ethics Financial Advisor Financial Planning Clients 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. Too often, developers and users are putting AI products and services into the market before anyone starts asking ethical questions.

Ethics 52

Ethics Compliance Government Clients 52

Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices. As with all of our investments, we seek to combine fundamental, ESG and investigative research to create a complete understanding of our holdings—the return opportunities they offer us, as well as the risks that may cause them to stumble. Thu, 04/22/2021 - 11:37.

Ethics 52

Ethics Compliance Government Clients 52

Carson Wealth

JULY 12, 2022

By Craig Lemoine, Director of Consumer Investment Research . So much of our world is filled with abbreviations surrounding insurance and investment products, processes, education and accomplishments. . I could say “Tammy, a CLU and ChFC ® , reviewed a DIA against a SPIA with a COLA to maximize his client’s Monte Carlo success rate.”

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Financial Advising Financial Planning Ethics Financial Services 98

Brown Advisory

JUNE 23, 2016

NOW 2016 | Autonomous Systems: Ethics at the Edge of Technology achen Thu, 06/23/2016 - 10:27 The limits to what humans can create seem bound only by the limits of human imagination. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Defense Department.

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Ethics Communication Clients Accounting 52

Brown Advisory

JUNE 23, 2016

NOW 2016 | Autonomous Systems: Ethics at the Edge of Technology. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Will our behavior and ethics change as we mobilize machines on military missions?

Ethics 52

Ethics Communication Clients Accounting 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

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

International College of Financial Planning

MAY 30, 2023

The finance industry is known for its complexity and competitiveness,where ethics play a pivotal role in determining arofessional’s success and credibility. As a finance student, understanding and practicing ethical behavior is crucial for building a responsible and reputable career. Impact of Ethics on Finance and the Economy.

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Ethics Compliance Education Clients 40

Tobias Financial

DECEMBER 22, 2023

In the ever-evolving world of finance, understanding the intricate differences between broker/dealers (BDs) and independent Registered Investment Advisors (RIAs) is paramount for consumers seeking trusted financial guidance.

Investment Advisor 52

Investment Advisor Ethics Investments Investing 52

Tobias Financial

DECEMBER 19, 2023

In the ever-evolving world of finance, understanding the intricate differences between broker/dealers (BDs) and independent Registered Investment Advisors (RIAs) is paramount for consumers seeking trusted financial guidance.

Investment Advisor 52

Investment Advisor Ethics Investments Investing 52

Indigo Marketing Agency

JANUARY 11, 2021

We are thrilled to have a new article published in the December 2020 issue of the Investments & Wealth Monitor , a bimonthly educational magazine for financial professionals published by Investments & Wealth Institute. The post We’ve Been Featured In The Investments & Wealth Monitor! Need Help Growing Your Business?

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Investments Investing Education Ethics 52

Brown Advisory

SEPTEMBER 13, 2021

Global Leaders Investment Letter: September 2021. We investigated some thoughts on intangible assets and invested capital in our last letter and subsequently we have been discussing the reinvestment rate and long-term growth of some of our investments. Mon, 09/13/2021 - 15:33. Just want the PDF? Download it here >.

Investments 52

Investments Investing Ethics Clients 52

International College of Financial Planning

OCTOBER 26, 2023

Let’s unveil the roles of these dedicated experts, who tirelessly weave strategies to illuminate the path towards their clients’ financial aspirations. They offer tailored recommendations, from shortlisting financial goals to handpicking the finest investments. Educating Clients: Knowledge is power.

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Certified Financial Planner Financial Planner Certification Clients 52

Midstream Marketing

OCTOBER 31, 2024

They work closely with their clients to reach this goal. They know that their marketing strategies work well and they follow important ethical and legal rules. Financial marketing consultants focus on understanding the target market for each client. This leads to more sales and better returns on investment (ROI).

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Consulting Financial Market Marketing Marketing 52

Sara Grillo

OCTOBER 31, 2022

The Form ADV Part I provides basic business detail about things such as ownership, clients, employees, etc. Form ADV Part 3 (also called Customer Relationship Summary) requires SEC-registered investment advisers to prepare a “plain English” summary of the data presented in Part I and II. It’s usually 2-4 pages long. #2

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Financial Advisor Commission Clients Compliance 110

Brown Advisory

JANUARY 20, 2023

Don't get an "F" on FBAR ajackson Fri, 01/20/2023 - 13:43 We work with many clients to develop smart, flexible tax strategies; such strategies are essential to align their tax, investment and wealth preservation plans. taxpaying clients is the “FBAR,” or the Report of Foreign Bank and Financial Accounts.

Accounting 100

Accounting Compliance Taxes Banking 100

International College of Financial Planning

JULY 10, 2023

How Investment Advisors Play a Significant Role in Managing Finances? The field of investment advisory presents a world of opportunities for individuals passionate about finance and investments. Their primary objective is to help clients make informed investment decisions, manage risks, and achieve financial objectives.

Financial Advisor 52

Financial Advisor Certified Financial Planner Financial Planner Investments 52

Steve Sanduski

OCTOBER 24, 2023

Guest: Andrew Brzezinski , PhD, CFA, Head of Data Strategy, Business Intelligence and Advanced Analytics at Fidelity Investments. On today’s show, Andrew Brzezinski and I discuss generative AI, overcoming the barriers to adopting AI, key risks and ethical considerations, and the future outlook for using AI in an advisory practice.

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Ethics Wealth Management Compliance Financial Advice 59

The Big Picture

DECEMBER 6, 2022

BARRY RITHOLTZ, HOST, MASTERS IN BUSINESS: This week on the podcast I have an extra special guest, Luis Berruga has a fascinating career as both a tech wizard and investment banker before becoming CEO of Global X ETFs. ANNOUNCER: This is Masters in Business with Barry Ritholtz on Bloomberg Radio. BERRUGA: You know, great question.

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Clients Investments Investing Management 162

International College of Financial Planning

AUGUST 31, 2023

Investing your money is crucial to securing your financial future and achieving your goals. Whether saving for retirement, buying a home, or building an emergency fund, investing grows your wealth over time. However, relying on a single asset class or Investment within an Asset class can be risky and limiting.

Portfolio 52

Portfolio Certified Financial Planner Investments Investing 52

International College of Financial Planning

APRIL 25, 2024

This certification is recognized globally and showcases a deep, systematic understanding of personal financial management, including investment planning, risk management, tax planning, and retirement planning. A crucial role of a CFP® is acting as a fiduciary, which means they are obligated to make decisions in client’s best interest.

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Certification CFP Certified Financial Planner Financial Planning 52

Brown Advisory

SEPTEMBER 6, 2022

Global Leaders Investment Letter: August 2022 mhannan Tue, 09/06/2022 - 10:48 Just want the PDF? Capital cycles appear when product shortages and subsequent high prices and rising return on invested capital (RoIC) are met by capital flowing into an industry to satiate the new demand. The key to this is analysis of the supply-side.

Investments 52

Investments Investing Insurance Ethics 52

Harness Wealth

MAY 25, 2023

Investing in financial guidance is an investment in your future. The primary fee structures are: Fee-only : Advisors only receive payment from their clients for the services they provide, not receiving any commissions or other incentives from product providers. Fee-based : This structure is a blend of fees and commissions.

Financial Advisor 52

Financial Advisor Certified Financial Planner Ethics CFP 52

International College of Financial Planning

DECEMBER 4, 2023

As financial markets grow more intricate and client needs to diversify, particularly in India, the focus on a financial advisor’s qualifications have intensified. In India, the call for such qualified professionals is on the rise, driven by an increased awareness of financial planning and investment.

Financial Advisor 52

Financial Advisor Certified Financial Planner CFP Certification 52

The Big Picture

FEBRUARY 28, 2023

They have a very thoughtful approach and a very long-term approach to making investments in the private markets. David is on the global investment committee. I was actually running the Investment Banking Club at BYU, and you know, thought I was interested in that, interested in going to Wall Street. He leads the executive team.

Investments 147

Investments Investing Clients Assets 147

eMoney Advisor

MAY 1, 2023

Also, the fact that many AAPI clients are first-generation Americans emphasizes the importance of cultural awareness for financial planners. It allows you to really see and hear your client by asking better questions about their life, and ultimately help them make the best decisions for their future.” Nandita Das, Ph.D.,

Financial Planning 101

Financial Planning Planning Financial Planner CFP 101

International College of Financial Planning

FEBRUARY 23, 2024

Understanding Financial Planner Certification or CFP® Financial Planner certification is a professional credential awarded to individuals who have met specific education, examination, experience, and ethics requirements in financial planning. From a client’s perspective, working with a CFP® offers a sense of security and trust.

Financial Planner 52

Financial Planner Certification CFP Certified Financial Planner 52

Trade Brains

JANUARY 20, 2023

A Case Study on ‘Satyam Scam’ Accounting Scandal: When the 2008 recession hit the world, India was not only going through a financial crisis but also an ethical crisis. Post this the company soon got its first Fortune 500 client- Deere and Co. Investors and clients all around the World were left shocked. 7000 crores.

Banking 131

Banking Accounting Ethics Sales 131

Yardley Wealth Management

MAY 30, 2023

A fee-only advisor is a financial professional who charges clients a transparent and agreed-upon fee for their services. Investment Management: For investment management help, fiduciary, fee-only advisors can advise on aligning investments with your goals and risk tolerance. What is a Fee-Only Advisor?

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Fee Only Risk Tolerance Ethics Retirement Planning 52