Clients and Investments - Financial Advisor Source

#FASuccess Ep 419: Attracting Clients Who Want To Align Their Investments With Their Values With A Sustainable Investing Approach, With Peter Krull

Nerd's Eye View

JANUARY 7, 2025

Pete is the Director of Sustainable Investing of Earth Equity Advisors, an RIA based in Asheville, North Carolina, that oversees approximately $200 million in assets under management for 250 client households. My guest on today's podcast is Peter Krull.

Investing

Investing Investments Clients Risk Tolerance

Avoid the Unforced Investment Errors Even Billionaires Make

The Big Picture

APRIL 17, 2025

In How Not to Invest , I showcase extreme examples of unforced errors to illustrate these behavioral mistakes. The article suggests they were more interested in their own financial well-being than that of their clients. Chris Bloomstran, chief investment officer of Semper Augustus Investments Group, has tracked this.

Investing

Investing Investments Accounting Startup

#FASuccess Ep 412: 3X’ing The Business With No More Than 50 Great Clients By Hyperfocusing On Who You Can Add The Most Value For, With Anjali Jariwala

Nerd's Eye View

NOVEMBER 19, 2024

Anjali is the Founder of FIT Advisors, an RIA based in Torrance, California (but works virtually with clients nationwide) and oversees $65 million in assets under management for 45 client households.

Clients

Clients Financial Advisor Business Planning Taxes

Webinars

What Your Financial Statements Are Telling You—And How to Listen!

How to Avoid Pitfalls In Automation: Keep Humans In the Loop

Data Talks, CFOs Listen: Why Analytics Is The Key To Better Spend Management

MORE WEBINARS

Graduating Clients The Right Way: A Thoughtful Approach To Sustainably Transition ‘Small’ Clients To On-Demand

Nerd's Eye View

FEBRUARY 24, 2025

Early in a firm's life cycle, a founder might take on nearly any client (and their fees) just to generate enough revenue to 'keep the lights on'. However, as the firm grows, some of those early clients may no longer be profitable to serve – especially if they generate lower fees than newly onboarded clients.

Clients

Clients Communication Numbers Management

Inspired Discovery: Asking Vision Questions To Focus On Clients’ “Ideal Self”

Nerd's Eye View

APRIL 9, 2025

It's natural for advisors to begin discovery meetings by asking questions about a client's current financial situation – understanding cash flow, debt, investments, risk tolerance, or even the burning tax concern that brought them to the advisor's door in the first place is crucial for financial planning.

Clients

Clients Financial Planning Risk Tolerance Planning

Empowering Clients to Invest Fearlessly

Wealth Management

OCTOBER 27, 2023

Advisors at Nitrogen's Fearless Investing Conference discuss empowering clients through education, confidence-building, and clarity in decision-making.

Clients

Clients Investing Investments Education

From Emotion To Logic: 6 Questions To Help Clients Navigate Market-Related Fears Productively

Nerd's Eye View

APRIL 23, 2025

During periods of market volatility, it's common for financial advisors to receive calls from clients who are nervous about what a steep market decline might mean for their portfolio and long-term financial goals. But even when a client agrees with the reasoning in the moment, the anxiety often lingers.

Clients

Clients Marketing Marketing Financial Advisor

From Emotion To Logic: 6 Questions To Help Clients Work Through Market-Related Fears Productively

Nerd's Eye View

APRIL 23, 2025

During periods of market volatility, it's common for financial advisors to receive calls from clients who are nervous about what a steep market decline might mean for their portfolio and long-term financial goals. But even when a client agrees with the reasoning in the moment, the anxiety often lingers.

Clients

Clients Marketing Marketing Financial Advisor

Adjusted for Risk: Client Communication Is Key to Investing Alternatives

Wealth Management

NOVEMBER 5, 2024

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

Communication

Communication Clients Investing Investments

A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny

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

Financial Planning Planning Compliance Clients

Adjusted for Risk: Client Communication Is Key to Investing Alternatives

Wealth Management

NOVEMBER 5, 2024

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

Communication

Communication Clients Investing Investments

Help Clients Ease Into Impact Investing by Starting with Deposits

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

Clients Wealth Advisor Investing Investments

Bringing Institutional Investment Strategies to High-Net-Worth Clients

Wealth Management

NOVEMBER 15, 2024

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

Clients

Clients Investing Investments Management

Adjusted for Risk: Client Communication Is Key to Investing Alternatives

Wealth Management

NOVEMBER 5, 2024

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

Communication

Communication Clients Investing Investments

Help Your Clients Understand the Importance of Staying Invested

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

Clients Investing Investments

A 3-Step Sales Process To Clearly Demonstrate Financial Planning Value To Prospects

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

Financial Planning Sales Planning Retirement

AIA: Architecture Billings "End the year on a weak note"

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

Clients Investing Investments Numbers

Transcript: Charley Ellis on Rethinking Investing

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.

Investing

Investing Investments Management Engineering

The Diamond Podcast for Financial Advisors: How Innovations in Investments, Training, and Client Service Built a $9.4B Business

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

Clients Financial Advisor Wealth Management Investing

Adviser links: loving clients’ problems

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

Clients Wealth Management Financial Planner Financial Planning

Russell Investments Expands SMA Options

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.

Investing

Investing Investments Portfolio Assets

Weekend Reading For Financial Planners (January 25–26)

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

Financial Planner Asset Allocation Clients Commission

10 Investment Must Reads This Week

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.

Investing

Investing Investments Wealth Advisor Clients

How Much Does Having The ‘Right’ Capital Market Assumptions Matter In Retirement Planning?

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

Retirement Planning Retirement Planning Marketing

Values, Purpose, Action: A 3-Part Approach To Establish A “Statement Of Financial Purpose” And Unlock Deeper, More Meaningful Planning Conversations With Clients

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

Clients Planning Financial Planner Financial Planning

Weekend Reading For Financial Planners (December 21–22)

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

Financial Planner Certification CFP Education

Opto Investments Introduces Custom Funds Capabilities

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.

Investing

Investing Investments Clients

Why Health Savings Accounts (HSAs) Aren’t Always Worth The ‘Triple Tax Savings’ Advantage

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

Accounting Taxes Medical Healthcare

Private Assets Front and Center at Morningstar Investment Conference

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

Assets Investing Investments Portfolio

Edward Jones Launches New Model Focused on HNW Clients

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

Clients Assets Planning Investing

10 Investment Must Reads for This Week (Nov. 26, 2024)

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.

Investing

Investing Investments Wealth Advisor Startup

Weekend Reading For Financial Planners (March 22–23)

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

Financial Planner Commission Communication Clients

Weekend Reading For Financial Planners (November 16-17, 2024)

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

Financial Planner Asset Allocation Taxes Tax Planning

Former Wells Fargo Advisor Recruiting Head Joins PNC Investments

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

Recruitment Wealth Advisor Investing Investments

The Changing Dynamics of Women and Charitable Giving and Investing

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.

Investing

Investing Investments Taxes Clients

How the Largest RIAs Are Investing Now

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.

Investing

Investing Investments Portfolio Clients

Adviser links: serving Boomers

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

Risk Tolerance Retirement Consulting Financial Planning

CAIS Launches New Alternative Investment Management Platform

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

Management Investing Investments Clients

Unlock Specialized Client Services with the Private Bank

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

Banking Clients Investing Investments

Holistiplan Launches Estate Plan Document Extraction Tool (And More Of The Latest In Financial #AdvisorTech – November 2024)

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

Estate Planning Planning Communication Clients

#FASuccess Ep 423: Expanding Across The Household By Helping (Affluent) Sandwich Generation Kids With Their Parents’ Financial Needs, With Cristina Livadary

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

Financial Advisor Clients Financial Planning Planning

BlackRock Muscles Into Private Assets Market for Wealth Clients

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

Assets Clients Marketing Marketing

Weekend Reading For Financial Planners (April 19–20)

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

Financial Planner Risk Tolerance Estate Planning Clients

Morgan Stanley Offers Pre-IPO Share Trading to Wealth Clients

Wealth Management

MARCH 5, 2024

The bank’s Private Markets Transaction Desk will assist Morgan Stanley Wealth Management clients seeking to invest in the highly-fragmented and opaque market for private shares.

Clients

Clients Wealth Management Management Investing

#FASuccess Ep 419: Attracting Clients Who Want To Align Their Investments With Their Values With A Sustainable Investing Approach, With Peter Krull

Avoid the Unforced Investment Errors Even Billionaires Make

Webinars

Trending Sources

#FASuccess Ep 412: 3X’ing The Business With No More Than 50 Great Clients By Hyperfocusing On Who You Can Add The Most Value For, With Anjali Jariwala

Webinars

Graduating Clients The Right Way: A Thoughtful Approach To Sustainably Transition ‘Small’ Clients To On-Demand

Inspired Discovery: Asking Vision Questions To Focus On Clients’ “Ideal Self”

Empowering Clients to Invest Fearlessly

From Emotion To Logic: 6 Questions To Help Clients Navigate Market-Related Fears Productively

From Emotion To Logic: 6 Questions To Help Clients Work Through Market-Related Fears Productively

Adjusted for Risk: Client Communication Is Key to Investing Alternatives

A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny

Adjusted for Risk: Client Communication Is Key to Investing Alternatives

Help Clients Ease Into Impact Investing by Starting with Deposits

Bringing Institutional Investment Strategies to High-Net-Worth Clients

Adjusted for Risk: Client Communication Is Key to Investing Alternatives

Help Your Clients Understand the Importance of Staying Invested

A 3-Step Sales Process To Clearly Demonstrate Financial Planning Value To Prospects

AIA: Architecture Billings "End the year on a weak note"

Transcript: Charley Ellis on Rethinking Investing

The Diamond Podcast for Financial Advisors: How Innovations in Investments, Training, and Client Service Built a $9.4B Business

Adviser links: loving clients’ problems

Russell Investments Expands SMA Options

Weekend Reading For Financial Planners (January 25–26)

10 Investment Must Reads This Week

How Much Does Having The ‘Right’ Capital Market Assumptions Matter In Retirement Planning?

Values, Purpose, Action: A 3-Part Approach To Establish A “Statement Of Financial Purpose” And Unlock Deeper, More Meaningful Planning Conversations With Clients

Weekend Reading For Financial Planners (December 21–22)

Opto Investments Introduces Custom Funds Capabilities

Why Health Savings Accounts (HSAs) Aren’t Always Worth The ‘Triple Tax Savings’ Advantage

Private Assets Front and Center at Morningstar Investment Conference

Edward Jones Launches New Model Focused on HNW Clients

10 Investment Must Reads for This Week (Nov. 26, 2024)

Weekend Reading For Financial Planners (March 22–23)

Weekend Reading For Financial Planners (November 16-17, 2024)

Former Wells Fargo Advisor Recruiting Head Joins PNC Investments

The Changing Dynamics of Women and Charitable Giving and Investing

How the Largest RIAs Are Investing Now

Adviser links: serving Boomers

CAIS Launches New Alternative Investment Management Platform

Unlock Specialized Client Services with the Private Bank

Holistiplan Launches Estate Plan Document Extraction Tool (And More Of The Latest In Financial #AdvisorTech – November 2024)

#FASuccess Ep 423: Expanding Across The Household By Helping (Affluent) Sandwich Generation Kids With Their Parents’ Financial Needs, With Cristina Livadary

BlackRock Muscles Into Private Assets Market for Wealth Clients

Weekend Reading For Financial Planners (April 19–20)

Morgan Stanley Offers Pre-IPO Share Trading to Wealth Clients

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