Indigo Marketing Agency

MARCH 22, 2020

If you can’t meet in person, it’s critically important to use video and share your screen to: Increase trust and improve communication. It’s important to choose one that is approved by your compliance department and easy to use. That’s where virtual meetings come in. Easy to host meetings. Set Up Your Account.

Clients 52

Clients Compliance Communication Accounting 52

Indigo Marketing Agency

APRIL 4, 2024

In addition to highlighting your professionalism and trustworthiness, successful financial advisor website design must also communicate your special knowledge and value offer. Here’s how to gain trust through compliance: Adhere to regulations: Verify that your website conforms with FINRA , FTC , SEC , and other pertinent laws.

Financial Advisor 52

Financial Advisor Compliance Consulting Certification 52

AdvisorPR

SEPTEMBER 28, 2023

In an era where financial expertise is in high demand, confidently communicating with journalists and leveraging media opportunities is a critical skill for financial planners. AdvisorPR is a division of JConnelly, an integrated communications agency that has served clients across the financial industry for more than two decades.

Financial Planner 52

Financial Planner Media Certified Financial Planner CFP 52

Steve Sanduski

AUGUST 27, 2024

You want every person, process, service offering, and communication tactic to maintain that focus on your ideal client. And so this is where we put things like technology optimization, strong operations, a culture of compliance, and core cybersecurity. Here’s a link to download the sample client persona generated by the AI prompt.

Strategic Planning 59

Strategic Planning Clients Communication Assets 59

Brown Advisory

DECEMBER 2, 2015

Please download The Advisory to read other articles in this issue including: Off the Beaten Trail. Circular 230 Compliance Statement: Regulations contained in IRS Circular 230 regulate written communications from us concerning tax matters. In compliance with those regulations, we must inform you that 1.

Taxes 52

Taxes Clients Estate Planning Portfolio 52

Brown Advisory

DECEMBER 2, 2015

But the key to success is clear, consistent communication. An inheritance is best used to sustain financial security, support the personal growth of heirs and bring broad benefits to communities. Please download The Advisory to read other articles in this issue including: Off the Beaten Trail.

Estate Planning 52

Estate Planning Asset Allocation Assets Planning 52

Sara Grillo

JULY 8, 2022

I have queries set up to download daily transactions, and I’ll review those so I know what’s going on in client’s accounts in case someone calls with a question about a specific trade. Check and respond to email for any client communications that may change the priority of what I’m doing that day: 15 minutes.

Financial Advisor 59

Financial Advisor Financial Planner Clients Financial Planning 59

Brown Advisory

SEPTEMBER 3, 2015

Please download The Advisory to read other articles in this issue including: Shadow Consumption. Circular 230 Compliance Statement: Regulations contained in IRS Circular 230 regulate written communications from us concerning tax matters. In compliance with those regulations, we must inform you that 1.

Estate Planning 52

Estate Planning Assets Distribution Taxes 52

The Big Picture

JULY 26, 2022

You can stream and download our full conversation, including the podcast extras on iTunes , Spotify , Stitcher , Google , Bloomberg , and Acast. WEAVER: Well, thankfully, we were — I really communicated a lot with Doug and Tom, and they understood. All of our earlier podcasts on your favorite pod hosts can be found here. ~~~.

Consulting 298

Consulting Numbers Management Investing 298

Brown Advisory

APRIL 20, 2022

Regardless of an entity’s scale, proactively defined audit requirements set mutual expectations for advisor and client alike, helping to ensure efficient and effective goal setting and communication. Confirm the role of your board of directors. Assess—or reassess—the role of your staff.

Investment Advisor 52

Investment Advisor Investments Investing Nonprofit 52

Indigo Marketing Agency

APRIL 23, 2020

I’ve talked to him extensively about what he’s doing, how he’s communicating with his clients. And so, you want to communicate regularly with valuable content that your audience is interested in. So let’s talk about what you should actually be doing this month. My dad’s an advisor.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

The Big Picture

SEPTEMBER 10, 2024

You can stream and download our full conversation, including any podcast extras, on Apple Podcasts , Spotify , YouTube , and Bloomberg. And so it’s, it’s sort of managing that, all of those different constituents with communication. You have to get compliance. So that, that’s the challenge.

Valuation 162

Valuation Clients Investing Investments 162

The Big Picture

FEBRUARY 13, 2023

You can stream and download our full conversation, including any podcast extras, on iTunes , Spotify , Stitcher , Google , YouTube , and Bloomberg. Tell us a little bit about what you do on Twitter and how was it getting that through legal and compliance? Second part, so I do these monthly calls, I do these write-ups. RIEDER: Thanks.

Economy 147

Economy Numbers Marketing Marketing 147

The Big Picture

AUGUST 15, 2023

You can stream and download our full conversation, including any podcast extras, on iTunes , Spotify , Stitcher , Google , YouTube , and Bloomberg. Let me say what your compliance wouldn’t allow you to say. SEIDES: And I’ll tell you a story that’s fun about the communication of it too. SEIDES: Correct.

Management 130

Management Investments Investing Government 130

Sara Grillo

APRIL 11, 2022

He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. I maybe had 5000 downloads and that was Jack Bogle, and so now we’re getting 30-35000 downloads a month, and it’s increasing every month, so it just takes time.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

The Big Picture

JULY 29, 2024

You can stream and download our full conversation, including any podcast extras, on Apple Podcasts , Spotify , YouTube , and Bloomberg. 00:10:47 [Speaker Changed] So in the additive services that Orion offers now are financial planning, compliance, CRM services, risk and analysis portfolio construction and advisor portal and investor portal.

Clients 147

Clients Portfolio Financial Advisor Investing 147

The Big Picture

JANUARY 24, 2023

You can stream and download our full conversation, including any podcast extras, on iTunes , Spotify , Stitcher , Google , YouTube , and Bloomberg. There was XO Communication and McLeod. RITHOLTZ: So I know we’re not going to talk about performance and returns because of the normal compliance headaches. RITHOLTZ: I recall.

Investing 263

Investing Investments Numbers Banking 263

The Big Picture

DECEMBER 14, 2022

You can stream and download our full conversation, including the podcast extras on iTunes , Spotify , Stitcher , Google , YouTube , Bloomberg. RITHOLTZ: Are we going to get a red flag from a compliance, or is that an official statement we could use? All of our earlier podcasts on your favorite pod hosts can be found here. ~~~.

Assets 162

Assets Investing Investments Portfolio 162

The Big Picture

APRIL 25, 2023

You can stream and download our full conversation, including any podcast extras, on iTunes , Spotify , Stitcher , Google , YouTube , and Bloomberg. Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. RITHOLTZ: Compliance, legal, and risk.

Compliance 162

Compliance Clients Wealth Management Management 162

Indigo Marketing Agency

MARCH 24, 2025

AI-powered tools are transforming various facets of advisory businesses, including client engagement, portfolio management, compliance, and more. Still relying on manual processes for client communication, research, or scheduling? Saifr: Offers AI-assisted content creation tools designed to ensure compliance with financial regulations.

Financial Advisor 52

Financial Advisor Compliance Communication Wealth Management 52

The Big Picture

JANUARY 14, 2025

You can stream and download our full conversation, including any podcast extras, on Apple Podcasts , Spotify , YouTube , and Bloomberg. Maybe we should do this out from under the compliance regulations of a broker dealer? Always learn from mistakes, get the communication out there and constantly improve.

Management 147

Management Investing Investments Assets 147

The Big Picture

DECEMBER 10, 2024

You can stream and download our full conversation, including any podcast extras, on Apple Podcasts , Spotify , YouTube , and Bloomberg. They have a bunch of databases, there’s compliance issues, there’s, you know, cyber, there’s there all kinds of things. Barry Ritholtz : How did you end up at Oracle?

Engineering 130

Engineering Consulting Manufacturing Investing 130

The Big Picture

NOVEMBER 25, 2024

You can stream and download our full conversation, including any podcast extras, on Apple Podcasts , Spotify , YouTube , and Bloomberg. You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up. They had gone from nothing to 12 billion.

Portfolio 147

Portfolio Management Marketing Marketing 147

The Big Picture

MAY 16, 2023

You can stream and download our full conversation, including any podcast extras, on iTunes , Spotify , Stitcher , Google , YouTube , and Bloomberg. They kept the reputation intact by communicating with their investors. Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun.

Media 290

Media Investing Investments Valuation 290