Wealth Management

FEBRUARY 8, 2024

Rowe is in the “early stages” of bringing a private credit fund, dubbed OCREDIT, that it started in October to wealth management clients.

Wealth Management 282

Wealth Management Retail Clients Management 282

Wealth Management

AUGUST 14, 2023

Schwab’s attrition amounts to about 4% of Ameritrade revenue prior to the deal, or around 1% of combined total client assets as of the end of last year.

Retail 246

Retail Assets Clients 246

Wealth Management

JULY 22, 2024

While many in the financial advice business have for years focused on retail clients, some firms are finding that pensions and foundations can pay off in a major way.

Financial Advice 286

Financial Advice Retail Clients 286

Nerd's Eye View

AUGUST 22, 2022

However, despite the impact that cash may have on a person's mindset, advisors have traditionally spent little time advising clients on what to do with their cash - except simply to tell them not to hold too much for risk of losing value to inflation. Read More.

Clients 246

Clients Management Accounting Banking 246

Nerd's Eye View

AUGUST 22, 2022

However, despite the impact that cash may have on a person's mindset, advisors have traditionally spent little time advising clients on what to do with their cash - except simply to tell them not to hold too much for risk of losing value to inflation. Read More.

Clients 246

Clients Management Accounting Banking 246

Wealth Management

DECEMBER 11, 2023

In a recent report, the SEC Investor Advocate suggested the commission "temporarily" stop RIAs from including mandatory arbitration clauses in contracts, arguing they could "mislead retail clients into not exercising their legal rights."

Commission 290

Commission Retail Clients 290

Wealth Management

JULY 26, 2022

Advisors say single-stock ETFs are more appropriate for short-term institutional traders who understand the inherent risks, not for retail clients.

Retail 279

Retail Clients 279

Nerd's Eye View

NOVEMBER 15, 2023

As a result of this attention, advisors are seeing an uptick in questions from their clients – and may have questions about their own businesses – regarding whether or not the ERC is really legitimate, who can actually claim it, and whether it's worth pursuing either way.

Clients 246

Clients Taxes Government Startup 246

Abnormal Returns

AUGUST 12, 2024

riabiz.com) Altruist Altruist is shifting more clients onto its own custodian platform. kitces.com) Advisers Why private equity is going after retail investors: fees, high fees. kindnessfp.com) How to think about clients who have an inability to spend money they clearly have. financial-planning.com)

Retail 263

Retail Retirement Clients Planning 263

Wealth Management

SEPTEMBER 6, 2022

Asset managers and technology firms are luring retail advisors into alts with easier access and promises of diversification and enhanced returns. Here's what advisors themselves think about broadening their client portfolios.

Retail 264

Retail Portfolio Assets Clients 264

Nerd's Eye View

JUNE 3, 2024

This month's edition kicks off with the news that 'startup' custodian Altruist has completed a $169 million fundraising round as it continues to rebuild the RIA custodial tech stack layer-by-layer while positioning itself as the biggest RIA custodian built from scratch and solely for advisors – which, while making it the clear #3 custodian behind (..)

Risk Tolerance 246

Risk Tolerance Communication Startup Financial Planning 246

Abnormal Returns

FEBRUARY 26, 2024

riabiz.com) Alts How to talk to your clients about alternative investments. morningstar.com) Alts managers are gearing up to get in front of retail investors. (kitces.com) The biz How Altruist has gained ground in the custody space. riaintel.com) How XYPN's new corporate RIA, Sapphire, will roll out.

Wealth Management 290

Wealth Management Financial Services Retail Insurance 290

Nerd's Eye View

MAY 7, 2024

Hannah is a partner and financial advisor at Lomanto Provost Financial Advisors, a hybrid advisory firm based in Plattsburgh, New York, that oversees approximately $150 million in assets under management for about 380 client households.

Banking 246

Banking Financial Advisor CFP Financial Advice 246

Nerd's Eye View

OCTOBER 25, 2023

There is a general understanding that investment advisers have a fiduciary relationship with their clients – in other words, that they are required to act in the client's best interests. These 3 components in practice make up a core part of the adviser's fiduciary duty to their clients.

Fiduciary Duty 246

Fiduciary Duty Commission Clients Accounting 246

Nerd's Eye View

APRIL 3, 2023

million in seed funding to support its growth as it builds out its "end-to-end" financial planning and advice engagement platform (but will it be able to replace, rather than augment, advisors' existing financial planning software?)

Estate Planning 246

Estate Planning Financial Planning Wealth Management Clients 246

The Big Picture

JULY 8, 2023

New York Times ) • Walmart Is Quietly Growing Into an E-Retail Tech Titan. The world’s biggest retailer stumbled in the early innings of the e-commerce revolution. trillion dollar in client assets. Others, like Taylor Swift, escaped. ( Now that Walmart has found its footing, it’s poised for big profits. The Stock Is a Buy.

Retail 264

Retail Distribution Clients Management 264

The Big Picture

OCTOBER 15, 2022

in client funds. Retail Gangster: The Insane, Real-Life Story of Crazy Eddie by Gary Weiss. Be sure to check out our Masters in Business next week with Marta Norton, Chief Investment Officer of Morningstar Investment Management. The firm manages directly or advises on $249.4B Outcome-Based Strategies for Morningstar.

Financial Advisor 306

Financial Advisor Education Retail Management 306

Wealth Management

APRIL 25, 2023

The income fund will be distributed through Ares Wealth Management Solutions, the parent’s retail business, and sold through registered investment advisers and financial advisors in the US.

Wealth Management 130

Wealth Management Clients Distribution Financial Advisor 130

Nerd's Eye View

MAY 1, 2023

This month's edition kicks off with the news that robo-advisor Betterment entered into a $9M settlement with the SEC for misrepresenting its tax-loss harvesting practices in its client agreements and marketing materials compared with its actual practices (e.g.,

Taxes 245

Taxes Retirement Planning Advertising Retirement 245

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.

Financial Planner 246

Financial Planner Recruitment Retirement Planning Retirement 246

Nerd's Eye View

OCTOBER 24, 2022

The advisory firm is the front end of the client relationship, but it entrusts client assets, and key aspects of their service, to a custodian that safeguards the money and provides the underlying platform. This optionality can give fee-conscious advisors (and their clients) the ability to choose what makes the most sense for them.

Retail 189

Retail Numbers Clients Accounting 189

The Big Picture

SEPTEMBER 19, 2022

How people behave around financial decisions is important; what cognitive issues affect their thought process helps me give better advise to clients; last, how economic behavior impacts the markets and the economy affects us all. This organization primarily operates in the Watches business / industry within the Miscellaneous Retail sector.

Retail 332

Retail Accounting Economy Numbers 332

Trade Brains

AUGUST 17, 2024

List of Biggest Stockbrokers in India 2024: In this article, we are going to look at the 15 Biggest Stockbrokers in India based on their total number of unique active clients. And this leads to a lot of trouble for their current clients. There are over 4900 stockbrokers in India registered with SEBI and different stock exchanges.

Clients 98

Clients Numbers Startup Accounting 98

Fortune Financial

APRIL 1, 2025

For example, in 2023, we discussed how an older car fleet would provide a long tailwind for auto parts retailers. Both the author and clients of Fortune Financial Advisors, LLC, own shares of Carrier. More recently, we discussed the opportunity present in our nation’s old housing stock.

Financial Advisor 85

Financial Advisor Retail Clients Planning 85

Nerd's Eye View

MAY 15, 2024

In practice, the DoL's Final Rule means that financial advisers who advise clients about rolling over assets from an employee retirement account like a 401(k) plan into an IRA are now subject to ERISA fiduciary obligations.

Retirement 246

Retirement Commission Banking Financial Advising 246

The Big Picture

NOVEMBER 26, 2024

His firm runs over $10 billion in client crypto assets. And find the entire musical playlist of At the Money on Spotify Responsible Crypto Investing Matt Hougan How should retail investors responsibly think about crypto? To help us unpack all of this and what it means for your portfolio, let’s bring in Matt Hogan.

Investing 148

Investing Investments Assets Retail 148

Abnormal Returns

OCTOBER 11, 2022

Retail Kris Abdelmessih, "Options trading is high margin for the brokerage. A mirror of what it looks like for the client." moontowermeta.com) Are retail investors to blame for stock market seasonality? papers.ssrn.com) Behavior More information makes us overconfident.

Retail 130

Retail Clients Investments Investing 130

The Big Picture

DECEMBER 1, 2023

ETF.com ) • The annoying — and hard to solve — problem of stolen packages : A thoroughly modern nuisance for consumers, shippers, and retailers alike. ( The private equity firm manages $27 billion in client assets. DFA’s push into ETFs has been more successful than even they expected.

Assets 231

Assets Retail Management Retirement 231

Abnormal Returns

APRIL 24, 2023

investmentnews.com) Charles Schwab ($SCHW) is rapidly transitioning retail TDA accounts. riaintel.com) How the 'curse of mastery' could be losing you clients. (investmentnews.com) Annuities are coming to a 401(k) plan near you. wsj.com) The biz The challenges of growth: why RIA M&A is likely to continue.

Financial Advising 147

Financial Advising Consulting Financial Planning Education 147

The Big Picture

JULY 20, 2023

My obvious bias is that my advisory firm charges clients to create financial plans and manage their assets. It is the advisor’s job to prevent clients from engaging in the kind of bad investment behavior that drawdowns often cause; I cannot see how trading that for >30% of the upside makes any sense. Chart after the jump ).

Financial Planning 186

Financial Planning Math Assets Management 186

The Irrelevant Investor

JANUARY 24, 2023

Today’s Animal Spirits is brought to you by YCharts: Enter your information here to get 20% off YCharts (new clients only) On today’s show, we discuss: The narrative vortex December 2022 retail sales Auto market weekly summary: January 13 Tesla’s price cuts are roiling the car market Over 5M new US startups show Covid-era boom has legs Google (..)

Startup 120

Startup Marketing Marketing Retail 120

eMoney Advisor

APRIL 13, 2023

In its Retail Banking: 2025 and Beyond report, PwC analysts explore five possible versions of the sector’s future. Closer Than Ever to Clients “We are incredibly bullish on the future of financial advice.” Part of that equation includes client-facing tools that promote engagement with their planning.

Banking 74

Banking Clients Planning Financial Planning 74

Abnormal Returns

FEBRUARY 20, 2023

Podcasts Emlen Miles-Mattingly & Dasarte Yarnway talk about the value of a client service calendar. nytimes.com) Why direct indexing won't become a retail product. onyxadvisornetwork.com) Brendan Frazier talks with Dave Yeske about the day that financial planning changed. citywire.com) On the downside of superfunding a HSA.

Startup 130

Startup Financial Planning Retail Insurance 130

Advisor Perspectives

MARCH 5, 2024

According to my guest today, impact investing can provide the means to combine community action, government support and private capital to achieve rewarding sustainable results. The pandemic and social unrest of 2020 inspired communities, government officials, and business leaders to voice their concerns for social and environmental justice.

Retail 52

Retail Investments Investing Clients 52

Zoe Financial

MARCH 24, 2025

Retail Sales (February): Headline number: rose 0.2% (below expectations of up 0.7%). Zoe Financial is not an accounting firm- clients and prospective clients should consult with their tax professional regarding their specific tax situation. Raised inflation outlook for 2025, and lowered GDP growth expectations for this year.

Marketing 52

Marketing Marketing Economics Taxes 52

Zoe Financial

NOVEMBER 11, 2024

Retail sales data, which give us a sense of how the consumer spending is looking. Zoe Financial is not an accounting firm- clients and prospective clients should consult with their tax professional regarding their specific tax situation. Federal Reserve meeting, which culminated with the Fed cutting another 25 basis points.

Marketing 52

Marketing Marketing Taxes Financial Advisor 52

Fortune Financial

APRIL 22, 2023

Even Advance, generally accepted as the weakest of the large chains grew earnings per share at an above-market rate: Despite the low growth environment for auto parts retail, it is critical to point out that there is a somewhat unique tailwind to this category which is that the industry is generally cycle-agnostic.

Retail 52

Retail Sales Financial Advisor Economics 52