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Wealth Management
JULY 30, 2024
Ameriprise has filed a suit against LPL, claiming that the broker/dealer directs recruits to take client information and trade secrets when they leave the firm.
298 
Nerd's Eye View
FEBRUARY 18, 2025
Sebastian is the President of Guerra Wealth Advisors, a hybrid advisory firm based in Miami, Florida, with nearly $15M of revenue and almost 60 team members, supporting over 1,700 client households.
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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
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.
287 
Wealth Management
MARCH 12, 2024
Understanding the activity of your peers will help you become a smarter advisor and a better steward for your clients.
278 
Wealth Management
OCTOBER 18, 2024
Separate lawsuits have LPL Financial and Ameriprise Financial battling over advisors leaving, claiming breach of contract and misuse of confidential client information.
298 
Wealth Management
MARCH 31, 2025
The firms that proactively recruit women, modernize advisor career paths and rethink client engagement strategies will be the ones to lead.
231 
Wealth Management
JANUARY 3, 2025
Thiel's Indivisible Partners is now liveandhas recruited a former Merrill advisor team, New York-based Woodring I LeRoy Capital Advisors, with about $640 million in client assets.
258 
Wealth Management
FEBRUARY 18, 2025
Ameriprise sued the IBD and several former employees last week, claiming the reps who left solicited clients and took confidential information, violating the Protocol for Broker Recruiting.
255 
Nerd's Eye View
MARCH 25, 2025
AJ is the co-founder of Brooklyn Fi, an RIA based in Brooklyn, New York but operating as a fully remote business, that oversees $370 million in assets under management for more than 400 client households.
Wealth Management
JUNE 14, 2023
Nationwide's Kristi Rodriguez looks forward regarding retirement income, next-gen clients and how to recruit diverse talent to the financial services industry.
246 
Nerd's Eye View
NOVEMBER 14, 2022
In the not-so-distant past, the typical career path toward becoming a financial advisor was to build up a book of business on one’s own, often by either tapping into one’s own personal networks or cold-calling prospective clients in bulk to generate enough business to gain a foothold.
238 
Nerd's Eye View
JANUARY 31, 2023
What's unique about Ali, though, is how she transitioned from a retail brokerage firm where she served nearly 400 clients (and was still responsible for business development to get more of them), to a multi-family office serving clients through specialized client relationship teams that keep advisor capacity to no more than 10 clients per advisor at (..)
246 
Nerd's Eye View
SEPTEMBER 11, 2023
When a financial advisory firm owner first starts their business, much of their time is spent on finding clients that they can serve. But as they (hopefully) onboard more clients and get busier with servicing those clients, they will also find that they eventually start to run short on time.
Nerd's Eye View
MARCH 4, 2025
Sten is the owner of Legacy Investment Planning, a hybrid advisory firm based in Franklin, Tennessee, that oversees $220 million in assets under management for 90 client households. My guest on today's podcast is Sten Morgan.
Abnormal Returns
JULY 10, 2023
(larrykotlikoff.substack.com) The biz Goldman Sachs ($GS) has snagged another custodian client, NewEdge Wealth. investmentnews.com) Recruiting Why aren't more women becoming advisers? citywire.com) AI implementation in finance requires good data, which big banks have.
244 
Nerd's Eye View
JUNE 23, 2023
Also in industry news this week: A recent study found that financial advisors get significantly more social media engagement from posts on LinkedIn and Facebook compared to Twitter and highlighted the importance of posting original content for engagement Why RIAs have struggled to find a solid footing in the IPO market From there, we have several articles (..)
Nerd's Eye View
APRIL 12, 2024
Implying that part of the potential appeal to such support platforms is not simply about whether it's more cost-effective to use their tech and services to replace the advisor's own overhead costs, but that it's easier to scale up quickly as a fast-grower by leveraging incrementally more of the support platform's capabilities than needing to take the (..)
Nerd's Eye View
DECEMBER 9, 2022
Recruitment has become the top concern for RIAs, according to a Charles Schwab survey, outpacing client acquisition through referrals and other priorities for the first time in the history of the study. A four-step process that advisors can use to help clients who tend to overspend.
Nerd's Eye View
SEPTEMBER 17, 2024
What's unique about Eric, though, is how he has chosen not to utilize the investment expertise he's built throughout his career to gather individual clients and manage their portfolios as a 'traditional' financial advisor with investment expertise, but instead to really stay focused on being an "investment nerd" by landing his current role as a partner (..)
Nerd's Eye View
JUNE 30, 2023
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that NAPFA has announced that it will no longer exclude advisors who receive up to $2,500 in annual trailing commissions from previous product sales, if they agree to donate that money to a non-profit organization (..)
Nerd's Eye View
MAY 16, 2023
In this episode, we talk in-depth about how, despite not implementing an AUM model, Jim’s firm was independently valued at $31 million of enterprise value based on the strength and growth rate of their retainer-based pricing model, how Jim arrived at his retainer-based model that charges $4,000, $6,000, or $10,000 per month to cover the breadth (..)
246 
Diamond Consultants
JANUARY 21, 2025
Four factors to consider when attempting to resolve if your firm is indeed the right place for you, your clients, and your business. Advisors regularly get calls from recruiters, consultants, branch managers, complex directors, business development officersthe list goes on and on. For most advisors, the answer is not black and white.
52 
Diamond Consultants
DECEMBER 18, 2024
Whats the reality when it comes to recruiting and transitions? Other beliefs are simply outdated, such as the notion that advisor resignations should occur on a Friday to maximize client retention. Competitive recruiting is coming to an end at the big firms. An annual perspective for advisors.
52 
Nerd's Eye View
SEPTEMBER 13, 2022
Vest and Financial Network to improve upon or outright establish new advisory platforms within their existing brokerage businesses, and how in three short years, Carolyn built a new training and development platform for LPL’s largest advisors – helping them recruit and retain advisors, create better compensation packages, and even build (..)
Nerd's Eye View
JULY 25, 2023
In this episode, we talk in-depth about how Rita experienced the evolution of broker-dealer platforms throughout her decades-long career where the technology and compliance, that was once the core of what Super-OSJs provided, is now increasingly supplanted by more in-depth services to support their advisors, how Rita has grown and scaled her platform (..)
Nerd's Eye View
MARCH 19, 2024
Meredith is the Founder & CEO of Artisan Financial Strategies, a hybrid advisory firm based in Alpharetta, Georgia, that oversees $77M in assets under management for 120 client households.
Abnormal Returns
NOVEMBER 21, 2022
wealthmanagement.com) Brendan Frazier talks the four pillars of a client discovery meeting. wsj.com) Advisers How to recruit, train and retain next generation advisers. (morningstar.com) Mark Bruno speaks with Brandon Kawal, principal of Advisor Growth Strategies, about the challenge of attracting talent.
Steve Sanduski
AUGUST 1, 2023
With this unique combination of advice, products, services, and technology, Northwestern believes it can compete on client experience while also attracting the next generation of independent advisors into the fold. How Northwester uses “content and culture” to train its advisors–most of whom are brand new to the industry.
52 
NAIFA Advisor Today
JANUARY 28, 2025
Richardson is a financial planner who has been providing sound financial advice to his clients since 2005. As a Retirement Income Certified Professional and a Life and Annuities Certified Professional, John advises clients on retirement planning, investment planning, and risk management.
eMoney Advisor
FEBRUARY 23, 2023
Leveraging a referral network is a powerful way for financial professionals to generate leads, gain new clients, and build a positive professional reputation. Along with your current client base, there are numerous professionals who come into contact with people who fit your ideal client profile.
Nerd's Eye View
AUGUST 6, 2024
billion in assets under management for approximately 900 client households. Jaime is the Managing Principal of Benedetti, Gucer, and Associates and BEAM Wealth Advisors, hybrid advisory firms based in Atlanta, Georgia, and Covington, Louisiana that oversee a total of $1.2
130 
Sara Grillo
MARCH 1, 2024
In this blog we discuss how to recruit financial advisors to your firm without being a slimy scum bag like everyone else is being! Ready for some financial advisor recruiting tips? I am looking to hire someone who has a good attitude and is honest, who could help me and my clients. Get a picture of yourself holding an animal.
52 
Diamond Consultants
SEPTEMBER 12, 2023
Most industry experts could rattle off a laundry list of reasons: more freedom and control, the ability to serve clients better, access to a greater array of products and services, better work-life situation for the advisor and team…the list goes on. The adage “there is no such thing as a free lunch” is true in advisor recruiting.
95 
The Big Picture
MAY 9, 2023
SALISBURY: At the simplest level we manage money for our clients. Three main client segments. Institutional clients, our own private wealth clients, and then third-party wealth clients where we manage money on behalf of other wealth managers distribution partners. SALISBURY: Look, every client is different.
299 
Leading Advisor
AUGUST 26, 2024
My Role as an FCOO (Fractional Chief Operating Officer) is to listen to my clients, work with them to create a vision and plan, and… The post FCOO – Managing Hiring/Recruiting appeared first on Leading Advisor - Simon Reilly.
40 
Diamond Consultants
DECEMBER 16, 2024
So, what can advisors do to ensure a successful client transition from one generation to the next? Many advisors (and their clients) are more comfortable in the traditional firm/wirehouse world. It also puts money in the pocket of the next gen because they would receive a portion from the recruiting deal. But is that fair?
Nerd's Eye View
APRIL 4, 2023
Marc is the Founder of Fairhaven Wealth Management, an independent RIA based in Wheaton, Illinois, that oversees more than $1 billion in assets under management for 450 client households. My guest on today's podcast is Marc Horner.
Nerd's Eye View
JANUARY 17, 2023
What's unique about Matt, though, is how he and his wife have translated the years of hands-on support they’ve provided to independent advisory firms to improve their operations, tech stack, and overall scalability, into creating an entire community for the industry’s Chief Operating Officers – aptly dubbed as PFI’s “COO (..)
130 
Diamond Consultants
FEBRUARY 25, 2025
However, acquiring and recruiting advisors is challenging, competitive, and expensive. Its better to simultaneously train and coach next gen advisors, while also feeding them clients to manage or prospects to target whenever possible. So how does an advisor get there? No doubt, it requires time, effort, and patience.
52 
Diamond Consultants
MAY 14, 2024
Likewise, many RIAs have expanded their advisor ranks by recruiting career changers or recent graduates and nurturing them with referrals or redistributed clients. They serve a specific client segment on behalf of their employer and adhere to their firm’s brand, investment, and client service processes.
105 
Nerd's Eye View
SEPTEMBER 28, 2022
Joe is a Partner and Head of Goldman Sachs Personal Financial Management, a national wealth management firm within Goldman Sachs which oversees more than $100 billion in assets under advisement for tens of thousands of client households.
Million Dollar Round Table (MDRT)
JANUARY 14, 2024
Maybe it’s less wastage within our business, maybe it’s new clients in specific target markets that we’re in. I’m incorporating my trips, my planning and all my continuing education as well as client reviews. What’s our overall objective for our firm?
102 
Nerd's Eye View
MARCH 7, 2023
Yonhee is a Principal and the Chief Operating Officer of JMG Financial Group, an independent RIA based in Chicago, Illinois, that oversees nearly $5 billion in assets under management for close to 1,500 client households.
The Big Picture
FEBRUARY 21, 2023
And certainly for us, that has been a time to show up and answer the bell for our clients. I mean it was a company owned by its clients with a clear purpose to really give them a fair shake and provide them with a better future. We looked at client success, it was defined by the funds they hold, but also by the advice they got from us.
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