Sara Grillo

JANUARY 9, 2023

Specific examples: Educating financial advisors of all business models (AUM, fee only, commission, etc.) The State of Colorado, in their memo, objected to use of the term “comprehensive financial planning” with no further definition to it. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Brown Advisory

AUGUST 14, 2023

Please see the end of this letter for a GIPS Report, important disclosures and a complete list of terms and definitions. Please see the end of this letter for a GIPS Report, important disclosures and a complete list of terms and definitions. One quantitative tool we use to assess our ongoing factor risk is Bloomberg PORT.

Investing 52

Investing Investments Portfolio Accounting 52

Inside Information

OCTOBER 30, 2021

Rostad is currently focused on what he sees as our best chance for meaningful reform: getting the Commission to revise the Form CRS disclosure so that it provides a clearer explanation of the different business models of broker-dealers/wirehouses, on the one hand, and fiduciary RIAs registered with the SEC on the other.

CFP 40

CFP Commission Investments Investing 40

Sara Grillo

APRIL 11, 2022

” As an hourly financial advisor he doesn’t make commissions for recommending products such as private REITs, structured products, etc. He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Sara Grillo

JUNE 20, 2022

It was a major advantage that they paid a base salary; albeit not a huge one it was still supportive of him feeling a bit more comfortable that working on straight commission. And it kinda started from there, so he really kinda got the ball rolling for me and… So that was back in 2011. Absolutely. NATE PENHA: In terms of marketing?

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

Brown Advisory

JANUARY 1, 2023

It is hard to see how a barrel of oil or tonne of coal can offer a superior customer outcome (nor any commodity by definition) with a non-differentiated end product where the moats are narrow, long before we start looking for a sustainable business advantage or durable 20% RoIC.

Investing 52

Investing Investments Valuation Clients 52

Tucker Advisors

AUGUST 9, 2021

According to the Department of Labor’s (DOL) website, the identification of a fiduciary follows ERISA standards and the five-part DOL test, based on the assumption that anyone who offers investment advice for a fee, commission or other compensation, will be regarded as a fiduciary. Download Your Free Referral Marketing Guide. The client?

Financial Advisor 52

Financial Advisor License Clients Insurance 52

The Big Picture

JUNE 27, 2023

Not only did he serve on the Brady Commission looking at the ’87 crash, but his history of investing and trading and public service, both at the Fed and the Chicago Board of Trade and Treasury Department, really unparalleled, as well as just a pretty amazing track record as an investor and trader. BORISH: Yes, yes. What did you find?

Math 147

Math Risk Management Marketing Marketing 147

Sara Grillo

MAY 8, 2023

SARA GRILLO: Awesome, so be… Let’s just start with a real quick definition, what is IUL? I’m excited to talk about index tools should be good, and this topic needs transparency, so I’m sure I have a great conversation about it. BOBBY SAMUELSON: Not it probably is.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

The Big Picture

SEPTEMBER 5, 2023

Listen, it’s always a good time to generate a commission if you’re a commission real estate agent. And high-end markets in the county surrounding New York definitely did better, and people moved farther. And you definitely have some industries or some companies that want five days a week right now.

Sales 130

Sales Numbers Marketing Marketing 130

The Big Picture

JANUARY 24, 2023

So you sell a lot of houses and you get commission on what you sell. That’s a pretty good run of the general trend is lower, and you have equity markets from 80 at least through ‘21, rising pretty substantial, even with the 2000s being a pretty — KLINSKY: It’s definitely been a 40-year secular bull market.

Investments 263

Investments Investing Numbers Banking 263

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. JR: That definitely is one that should be on the disclosure even though.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Nerd's Eye View

NOVEMBER 20, 2024

While this requirement might sound relatively straightforward, the lack of a single definition for what this duty actually requires can make it challenging for advisers seeking to understand precisely what it means to comply with this responsibility.

Fiduciary Duty 244

Fiduciary Duty Clients Commission Accounting 244