Nerd's Eye View

DECEMBER 18, 2024

Maintaining adequate books and records is a cornerstone of compliance for all investment advisers. For financial planning services, a similar approach to documentation can be applied to support regulatory compliance from the start of client engagement through all the steps that follow.

Financial Planning 246

Financial Planning Planning Compliance Clients 246

Wealth Management

NOVEMBER 5, 2024

UniFi by CAIA's Aaron Filbeck details the evolution of alternative investments and the importance of client communication.

Communication 246

Communication Clients Investments Investing 246

Wealth Management

MAY 2, 2024

Aligning cash holdings with the right financial institution can be a great way for wealth advisors—and their clients—to get started.

Clients 290

Clients Wealth Advisor Investments Investing 290

Wealth Management

NOVEMBER 5, 2024

UniFi by CAIA's Aaron Filbeck details the evolution of alternative investments and the importance of client communication.

Communication 241

Communication Clients Investments Investing 241

Wealth Management

NOVEMBER 15, 2024

Clay Young explores how his company delivers institutional-grade investment management to clients through innovative technology.

Clients 233

Clients Investments Investing Management 233

Nerd's Eye View

NOVEMBER 25, 2024

Over the past decade, a growing number of advisors have expanded into offering comprehensive financial planning services, reflecting a shift that not only helps them stand out from (increasingly commoditized) portfolio management offerings but also supports clients' broader financial goals.

Financial Planning 235

Financial Planning Sales Planning Retirement 235

Wealth Management

APRIL 3, 2025

As hard as it is, its important to keep your clients focused on achieving their long-term objectives rather than making hasty moves that could put those objectives at risk.

Clients 227

Clients Investments Investing 227

Calculated Risk

JANUARY 22, 2025

Note: This index is a leading indicator primarily for new Commercial Real Estate (CRE) investment. Although inquiries into new projects continued to increase at a relatively slow rate, the value of newly signed design contracts decreased further in December as clients remained hesitant to commit to new work.

Clients 270

Clients Investing Investments Numbers 270

The Big Picture

FEBRUARY 25, 2025

The transcript from this weeks, MiB: Charley Ellis on Rethinking Investing , is below. Charlie Ellis is just a legend in the world of investing. He was chairman of the Yale’s Endowment Investment Committee and his, not only did he write 21 books, his new book, rethinking Investing, is just a delightful snack.

Investments 162

Investments Investing Management Engineering 162

Wealth Management

FEBRUARY 1, 2024

Gary Furukawa and Erik Morgan of Freestone Capital share how their success is driven by creating unique solutions around serving clients, training their team, building the business and managing investments. What does it take to thrive in the ultra-competitive wealth management world?

Clients 288

Clients Financial Advisor Wealth Management Investments 288

Wealth Management

JUNE 21, 2024

The investment manager has added eight new fixed-income and multi-asset SMAs for advisors to use in client portfolios.

Investments 285

Investments Investing Portfolio Assets 285

Nerd's Eye View

JANUARY 24, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that while overall financial advisor headcount remains relatively flat, the RIA channel continues to gain share in terms of both headcount (as brokers break away to start their own independent firms and aspiring advisors seek (..)

Financial Planner 246

Financial Planner Asset Allocation Clients Commission 246

Abnormal Returns

DECEMBER 2, 2024

podcasts.apple.com) The biz Fidelity's move to sweep client cash into FCASH, making more work for RIAs. riabiz.com) Morgan Stanley's ($MS) wealth management division apparently prioritized assets over vetting clients. riabiz.com) Why wealth managers need to do more to support client charitable giving. thinkadvisor.com)

Clients 120

Clients Wealth Management Financial Planner Financial Planning 120

Wealth Management

AUGUST 6, 2024

Amid the market rancor in recent days, some wirehouse advisors are telling clients to “buy the dip,” reports FundFire. The unwinding of a popular carry trade borrowing in yen and investing in other currencies is a culprit in the increased market volatility.

Investments 289

Investments Investing Wealth Advisor Clients 289

Nerd's Eye View

DECEMBER 11, 2024

is perhaps the most fundamental question a client brings to their advisor. Answering it well requires a range of assumptions – from estimating average investment returns to understanding correlations across asset classes. Beyond market variables, clients bring their own behaviors and preferences into play.

Retirement Planning 245

Retirement Planning Retirement Planning Marketing 245

Nerd's Eye View

NOVEMBER 6, 2024

In the early days of financial planning, serving clients often meant developing transactional relationships focused on facilitating trades and selling insurance. Over time, advisors shifted toward more analytical approaches, such as investment management and retirement planning.

Clients 130

Clients Planning Financial Planner Financial Planning 130

Nerd's Eye View

DECEMBER 20, 2024

Senate appears poised to pass legislation that would eliminate the long-established WEP and GPO provisions and increase the Social Security benefits of many state and local workers in the process From there, we have several articles on investment planning: While index funds are often viewed as 'passive' investments, advisors can add value for their (..)

Financial Planner 246

Financial Planner Certification CFP Education 246

Wealth Management

SEPTEMBER 8, 2023

RIAs using the platform will be able to create white-label fund strategies including on private credit, equity, real estate, venture capital and infrastructure investments for high-net-worth and ultra-high-net-worth clients.

Investments 312

Investments Investing Clients 312

Nerd's Eye View

FEBRUARY 5, 2025

Health Savings Accounts (HSAs) have become an increasingly popular tool for financial advisors and their clients due in part to the 'triple tax savings' they offer: tax-deductible contributions, tax-free growth, and non-taxable distributions for qualifying expenses. Read More.

Accounting 234

Accounting Taxes Medical Healthcare 234

Wealth Management

JUNE 28, 2024

Asset managers continue to launch investment products that resonate with advisors. But what assets work best in the space, and how to deploy them into client portfolios, remains up for debate.

Assets 299

Assets Investments Investing Portfolio 299

Nerd's Eye View

MARCH 21, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a report from Cerulli Associates found that, amidst an industry-wide trend towards comprehensive financial planning and away from pure transaction-based investment management, asset-based fees currently represent 72.4%

Financial Planner 229

Financial Planner Commission Communication Clients 229

Wealth Management

NOVEMBER 26, 2024

Morningstar published its 2025 investment outlook for financial advisors. Morgan Stanley has looked to add employees of startup companies as wealth management clients in anticipation of future IPOs, reports Inc. These are among the investment must reads we found this week for wealth advisors.

Investments 290

Investments Investing Wealth Advisor Startup 290

Wealth Management

MARCH 12, 2025

Edward Jones Generations will focus on clients with a minimum of $10 million in investable assets who require help with cash flow analysis, trust and estate demands and business owner planning, among other needs.

Clients 270

Clients Assets Planning Investments 270

Nerd's Eye View

NOVEMBER 15, 2024

Also in industry news this week: NASAA has proposed an amendment to its broker-dealer conduct model rule that would restrict the use of the terms “advisor” and “adviser” for broker-dealers and their registered representatives who are not also investment advisers or investment adviser representatives A recent study suggests that (..)

Financial Planner 246

Financial Planner Asset Allocation Taxes Tax Planning 246

Wealth Management

NOVEMBER 25, 2024

Brendan Krebs will lead PNC Investments' Wealth Advisor team, reporting to President and CEO Richard Guerrini and helping build out the firm’s increasing focus on mass affluent clients.

Recruitment 287

Recruitment Wealth Advisor Investments Investing 287

Wealth Management

NOVEMBER 6, 2023

Next gen clients have shown themselves to be less focused on tax implications and traditional investment returns, and more keen on making an impact both via their gifting and investing.

Investments 311

Investments Investing Taxes Clients 311

Wealth Management

OCTOBER 6, 2023

Chief investment officers from nine of the largest RIAs reveal how they are tweaking client portfolios in response to the markets, and detail their best investment ideas right now. "Higher-for-longer" interest rates, earnings volatility, multiple expansion.

Investments 290

Investments Investing Portfolio Clients 290

Wealth Management

OCTOBER 24, 2023

The CAIS Solutions software-as-a-service platform allows advisors to manage all clients’ alternative investments, even those not sourced through CAIS’s marketplace.

Management 289

Management Investments Investing Clients 289

Abnormal Returns

OCTOBER 28, 2024

(youtube.com) The biz Why Hightower Advisors is buying an institutional investment consultant. citywire.com) What's behind the surge in client churn at RIAs? riabiz.com) Risk tolerance Determining a client's risk tolerance is more complicated than having them fill out a questionnaire.

Risk Tolerance 271

Risk Tolerance Retirement Consulting Financial Planning 271

Wealth Management

JANUARY 8, 2025

(Sponsored Content) Discover how high-net-worth clients can have a full array of options for investing and banking capabilities at Wells Fargo.

Banking 246

Banking Clients Investments Investing 246

Nerd's Eye View

NOVEMBER 4, 2024

And for #AdvisorTech companies who want to submit their tech announcements for consideration in future issues, please submit to TechNews@kitces.com !

Estate Planning 243

Estate Planning Planning Communication Clients 243

Nerd's Eye View

FEBRUARY 4, 2025

Cristina is the CEO of Mana Financial Life Design, an RIA based in Los Angeles, California (but works virtually with clients nationwide), that oversees approximately $70 million in assets under management for 119 client households.

Financial Advisor 229

Financial Advisor Clients Financial Planning Planning 229

Wealth Management

JUNE 26, 2024

is expanding further into private-markets investing, striking a new partnership to include the assets alongside traditional ETFs and mutual funds in model portfolios pitched to wealthy US retail clients. (Bloomberg) -- BlackRock Inc. The firm will w

Assets 250

Assets Clients Marketing Marketing 250

Nerd's Eye View

APRIL 18, 2025

Which could create opportunities for firms to seek opportunities to move 'upmarket' by trying to add new HNW clients who might not have an advice relationship (or whose current advisor doesn't provide sufficiently comprehensive service).

Financial Planner 196

Financial Planner Risk Tolerance Estate Planning Clients 196

Wealth Management

FEBRUARY 15, 2024

Anya Coverman, president and CEO of the Institute for Portfolio Alternatives, talks about potential policies at the federal and state levels that could stem advisors’ ability to use alternative investments in client portfolios.

Investments 306

Investments Investing Portfolio Clients 306

Nerd's Eye View

MARCH 28, 2025

Which suggests that, amidst ongoing debate over fiduciary-related regulations, an advisor's status as a fiduciary could both lead to greater client trust (both in their individual advisor relationship and perhaps in the financial advice industry as a whole) and, ultimately, higher client retention rates.

Financial Planner 229

Financial Planner Retirement Retirement Planning Clients 229

The Big Picture

NOVEMBER 26, 2024

Full transcript below. ~~~ About this week’s guest: Matt Hougan, Chief Investment Officer at Bitwise Asset Management discusses the best ways to responsibly manage crypto assets. His firm runs over $10 billion in client crypto assets. I know ETFs today are the apple pie of investing. Give us some investment strategies.

Investing 147

Investing Investments Assets Retail 147