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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 (..)
Wealth Management
MAY 9, 2024
billion AUM firm makes client data easy to access. CFO Brian Dillbeck explains how deep integration within the CRM of the $24.4
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Book of Secrets on the Month-End Close
What Your Financial Statements Are Telling You—And How to Listen!
Are Robots Replacing You? Keeping Humans in the Loop in Automated Environments
Data Talks, CFOs Listen: Why Analytics Is The Key To Better Spend Management
Wealth Management
MARCH 19, 2025
financial firms: when brokers or investment advisors have personal or intimate relationships with their clients. The drama spotlights an issue that has long bedeviled U.S.
215 
Wealth Management
NOVEMBER 20, 2024
A sensible move for both the firm and its clients?
Wealth Management
MAY 17, 2023
After growing nearly 800% in five years, PCIA plans to move about $1 billion in client assets to Goldman Sachs to improve custodial services and access.
Wealth Management
JULY 30, 2024
The milestone validates Captrust’s business model and growth of the registered investment advisor space.
240 
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. Clients looking for investment advice have many options.
Nerd's Eye View
NOVEMBER 28, 2022
Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.
246 
Wealth Management
MARCH 29, 2023
The Department of Justice also charged Surage Roshan Perera of wire fraud, investment advisor fraud and money laundering, for allegedly defrauding an unnamed investor.
259 
Abnormal Returns
JANUARY 13, 2025
(citywire.com) Mariner Wealth Advisors has purchased institutional consultant Cardinal Investment Advisors. riabiz.com) Advisers Clients are going to assess "success rates" from a Monte Carlo simulation differently. thinkadvisor.com) How technology is helping advisers do their real job - helping clients.
Wealth Management
MARCH 7, 2024
Cornerstone Advisors, a Baxter, Minn.-based based team with about $360 million in client assets, joins from Cetera Investment Advisors.
Wealth Management
JULY 31, 2024
based registered investment advisor with over $1.35 billion in client assets and 25 employees. Rodgers & Associates Wealth Advisers, a Lancaster, Pa.-based
Nerd's Eye View
SEPTEMBER 20, 2024
Further, the survey showed the continued predominance of the AUM fee model amongst state-registered firms (at the same time, more than half of firms said they charge on a fixed-fee or hourly basis, suggesting many firms utilize multiple fee models) and identified the most common areas of regulatory enforcement during the year, with failure to register (..)
Wealth Management
AUGUST 2, 2022
Heber Fuger Wendin Investment Advisors, with $8.6 billion in assets, brings to Mariner its client roster of community banks and credit unions.
244 
Abnormal Returns
OCTOBER 21, 2024
(frazerrice.com) Brendan Frazier talks with Ben Haas about how to conduct client 're-discovery' meetings. youtube.com) The biz Schwab Advisor Solutions will look to boost revenue, just not through custody fees. riabiz.com) XYPN Planning Network has launched a new registered investment advisor corporate affiliation model, Sapphire.
289 
XY Planning Network
DECEMBER 9, 2024
If you're an established financial advisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns. Managing this process effectively is crucial for retaining clients and ensuring compliance.
76 
Abnormal Returns
OCTOBER 16, 2023
Podcasts Brendan Frazier talks with Meghaan Lurtz about re-engaging with existing clients. wiredplanning.com) Daniel Crosby talks with Matt Reiner partner at Capital Investment Advisors about the future of financial advice. standarddeviationspod.com) M&A Are smaller RIAs at risk because of national, full-service firms?
262 
Nerd's Eye View
OCTOBER 14, 2024
Independent Registered Investment Advisors (RIAs) often face significant challenges in attracting advisors who can proactively generate new business. In some situations, a firm's employee advisors may want to bring in new clients but lack the skills, experience, and confidence.
Nerd's Eye View
NOVEMBER 28, 2022
Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.
246 
The Big Picture
AUGUST 26, 2022
His counter has been that responsible brokers (like himself) run a transactional business for clients who want those services. He has high client retention and has generated respectable performance for those customers. My examples of overpriced, low-performing, abusive account management have been derided as outliers.
353 
Darrow Wealth Management
NOVEMBER 4, 2024
Here are five ways you can find a full-time fiduciary financial advisor. What is a fiduciary advisor? A fiduciary advisor is a financial professional who is legally obligated to act in the best interest of their clients. Not all advisors are fiduciaries.
The Big Picture
APRIL 6, 2023
RWM runs over $3 billion in client assets. But as the Chief Investment Officer of RWM, I can assure you that it is utter nonsense. Rather, the holdings parallel the mutual funds clients own. NYSE:E)” – but since the mutual funds we own have, so too, have our direct indexing clients. ” Because we are not. .”
BlueMind
NOVEMBER 24, 2022
Category: Client Relations. The demands of high-net-worth clients are no small feat and can be challenging and daunting to deal with, to say the least. However, acquiring and retaining an HNW client is every financial advisor’s dream. Related: Effective Strategies To Deal With Difficult Clients.
98 
Nerd's Eye View
JULY 8, 2024
Additionally, the upcoming Kitces Value Summit, coming December 12 , 2024, will tackle how real advisors provide and communicate their ongoing value to their clients. Additionally, the upcoming Kitces Value Summit, coming December 12 , 2024, will tackle how real advisors provide and communicate their ongoing value to their clients.
239 
Midstream Marketing
NOVEMBER 26, 2024
Introduction In the busy world of financial services, asset managers and Registered Investment Advisors (RIAs) require solid marketing strategies to succeed. They need to recognize the special needs and challenges investment advisors face. With targeted marketing efforts, investment advisors can stand out.
52 
Wealth Management
MARCH 2, 2023
Predictive data technologies may create “inherent conflicts” of interest related to the duty that investment advisors have to their clients, the SEC chair said.
Darrow Wealth Management
FEBRUARY 13, 2025
Fee-only financial advisors are often registered investment advisors too, meaning they have a legal duty to act in the clients best interest. This fiduciary duty is a cornerstone of their practice, providing clients with the confidence that their financial advisor is working solely for them.
52 
Tobias Financial
APRIL 1, 2025
Francheska brings a personalized, forward-thinking approach to financial planning, helping clients navigate complex financial decisions with confidence. Dedicated to empowering individuals and families, her goal is to provide thoughtful guidance tailored to each clients unique goals.
52 
Mullooly Asset Management
JUNE 30, 2022
In this week’s podcast, Tom and Casey discuss how crucial communication is for the investment advisor-client relationship. We take a different investment approach when money is needed in the short-term vs. growing it over the long-term.
The Big Picture
AUGUST 9, 2024
Named one of the 25 most influential people by Investment Advisor, his breakthrough book, “ What Investors Really Want , ” changed how we view investor motivations. Statman believes Financial Advisers should also serve their clients as “Well-Being Advisers.”
The Big Picture
JANUARY 19, 2024
The digital investment advisor manages over $40 billion in assets for 800,000 clients. All of our earlier podcasts on your favorite pod hosts can be found here. Be sure to check out our Masters in Business next week with Sarah Kirshbaum Levy , CEO, Betterment.
182 
International College of Financial Planning
JULY 31, 2023
Let’s explore the role of investment advisors in helping individuals avoid these pitfalls and make informed decisions. By becoming an investment advisor, you can assist others in achieving their goals and strengthening your own financial journey. By diversifying investments advisors can help with asset allocation.
Trade Brains
AUGUST 17, 2024
Recently, Nithin Kamath, Co-founder of Zerodha, a leading stockbroker in India, highlighted a significant challenge in the Indian financial market: the relatively low number of SEBI-registered investment advisors (RIAs) and research analysts (RAs). In fact, the number of registered RIAs appears to be declining.
International College of Financial Planning
NOVEMBER 10, 2021
There is great demand for Investment Advisor professionals in India and here we look at the various Investment Advisor Courses and Training Programs that you can take. The demand for Investment Advisors has been constantly rising over the last two decades.
International College of Financial Planning
JUNE 14, 2023
Are you passionate about investments? If so, you can turn your passion into a profession by becoming a SEBI-registered investment advisor. SEBI has introduced guidelines for individuals aspiring to become investment advisors in India. This blog post will provide all the necessary information on this topic.
Million Dollar Round Table (MDRT)
JUNE 18, 2023
Robert, a financial advisor in North Carolina, came to me after he had tried most of these. He’s an investment advisor representative and CFP with life and health insurance licenses. One of Robert’s challenges was that nothing about him made him special to prospects or clients.
NAIFA Advisor Today
FEBRUARY 16, 2024
Glenn Crawford is a Certified Divorce Financial Analyst (CDFA®) and a licensed insurance agent holding a Series 65 Investment Advisor Representative distinction. His mission is to support better financial outcomes for clients by educating, enabling, and empowering them to make sound decisions about their financial well-being.
105 
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.
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.
Advisor Websites
NOVEMBER 10, 2022
Landing clients as a financial advisor is no easy feat in today’s world. Self-serve platforms and robo-advisors are growing rapidly , lu ring potential customers away.
Tobias Financial
MARCH 16, 2025
If you have any questions or would like to discuss your investment approach, were here to help. Tobias Financial Advisors is registered as an investment advisor with the SEC. This is a representation of a general case scenario, however individual client timeline and experience may vary due to ones unique circumstances.
52 
Midstream Marketing
NOVEMBER 8, 2024
Key Highlights Find good ways to get new clients as a financial advisor. Explore several ways to get financial advisor leads. It will help you connect with potential clients looking for financial help. It means finding people who need help with their money and turning them into clients.
Brown Advisory
APRIL 20, 2022
Good Preparation Leads to a Good Audit Experience: What to Expect from Your Investment Advisor mhannan Wed, 04/20/2022 - 06:03 After an extended period of strong returns that began in 2009, many not-for-profit (NFP) organizations find themselves increasingly challenged to earn the traditional target of an inflation-adjusted 5% annual spending rate.
International College of Financial Planning
MARCH 24, 2024
Understanding the nuanced differences between an investment advisor and a financial planner is vital for individuals in India aspiring to carve a niche in the financial sector. Work Profiles: Diving Deeper Investment Advisor: Investment advisors are specialists who focus on the nuances of investment opportunities.
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