Nerd's Eye View

JUNE 4, 2024

In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Indigo Marketing Agency

SEPTEMBER 28, 2024

The problem with this approach is that it often lacks a cohesive strategy and doesn’t communicate the specific value of the advisor posting it. Lack of a Sales Funnel Simply sharing content isn’t enough to turn a casual viewer into a client. What are the best practices for compliance in social media for financial advisors?

Financial Advisor 95

Financial Advisor Media Compliance Sales 95

Midstream Marketing

OCTOBER 31, 2024

This leads to more sales and better returns on investment (ROI). Email Marketing: Build relationships and increase sales through targeted email campaigns. Compliance and Regulatory Advertising Standards The financial services industry has many rules. Choose a consultant who values clear communication.

Consulting 52

Consulting Financial Market Marketing Marketing 52

Steve Sanduski

OCTOBER 27, 2024

However, if each piece of your tech stack isn’t integrated to communicate with the other pieces of your tech stack, you could end up with a fragmented infrastructure that complicates your processes rather than streamlining them. Bringing in New Clients: Includes marketing and sales processes for attracting and converting prospects.

Clients 64

Clients Financial Advisor Management Compliance 64

Midstream Marketing

DECEMBER 6, 2024

Compliance and Security for RIAs Compliance and data security matter a lot in the financial services industry. By focusing on compliance and security, you can earn your clients trust. They like communication that is tailored just for them. A lot of clients use these devices. Doing so can harm your business.

Marketing 52

Marketing Marketing Media Engineering 52

Midstream Marketing

NOVEMBER 26, 2024

Understand the importance of compliance in marketing for RIAs and explore best practices. Crafting impactful content and using the right communication tools is essential for their growth. Personalization in RIA Client Relationships: Testimonials That Resonate Tailored communication is very important in finance today.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Harness Wealth

FEBRUARY 19, 2025

and have reported more than $5 million in gross receipts or sales on their previous year’s tax return. Ensure BOI reporting compliance and remain updated with the latest BOI regulations with a tax advisor from Harness. This email address will be used for communication regarding the report. Starting at $1,500 per year.

Taxes 52

Taxes Financial Advisor Consulting Certification 52

Indigo Marketing Agency

DECEMBER 18, 2019

That’s why top advisors outsource their marketing to proven professionals that understand our industry and compliance. . It offers comprehensive solutions, including personalized websites, compliance-ready content, email and social media tools, and more. Branding and Communications for Financial Advisors.

Financial Advisor 52

Financial Advisor Marketing Marketing Compliance 52

Harness Wealth

SEPTEMBER 23, 2024

Key Takeaways: Too many tax practices are bogged down in commoditized administrative tasks and compliance work, making it challenging to cross-sell services to expand client relationships. Technology can also enhance client engagement by using tools like client portals and e-signature software to streamline communications.

Taxes 52

Taxes Clients Compliance Tax Planning 52

Harness Wealth

NOVEMBER 27, 2023

Core components of CAS involve bookkeeping, payroll, tax planning & compliance services customized for each client. Client Accounting Services are a comprehensive set of offerings provided by accounting firms to assist both individual and business clients in both compliance matters and day-to-day financial management.

Accounting 59

Accounting Clients Compliance Taxes 59

FMG

SEPTEMBER 7, 2022

“FMG has positively impacted my communications with clients and prospects.” “The FMG marketing portal has greatly streamlined the way we communicate with clients over the last 2 years!” I met with some of the sales and management of this company. Thanks, FMG” ~ Chery Evans. “Use it daily.

Communication 52

Communication Financial Planning Clients Wealth Advisor 52

Carson Wealth

SEPTEMBER 23, 2024

Amongst other things, the August retail sales report showed that online sales grew at an annualized pace of 15% over the past three months. Compliance Case # 02419581_092324_C The post Market Commentary: S&P 500 Makes New All-Time High as Fed Goes Big appeared first on Carson Wealth. Layoffs are also relatively low.

Marketing 96

Marketing Marketing Economy Economics 96

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

Inside Information

MAY 30, 2023

In the accompanying articles, you will read how the ‘top’ broker-dealers are not really in the sales business anymore; they are now becoming national advisory firms. In most cases, with a few exceptions, sales are 40% or more of the total revenues, and are more often over 60%.

Communication 40

Communication Sales Insurance Compliance 40

Indigo Marketing Agency

JUNE 16, 2021

We Write Your Presentation After you choose a topic, our team gets to work creating two different documents for you: your webinar presentation and a communications kit. I hear a lot of advisors say, “I’m great at closing sales, if I can just get a prospect in my office where I can talk to them one-on-one.”

Financial Advisor 52

Financial Advisor Communication Compliance Retirement 52

Harness Wealth

OCTOBER 5, 2023

Client Communication: Create an effective communication and onboarding process for clients who are interested in your new services. Sales and Marketing: You’ll also need to update your sales and marketing strategy before rolling out your new service offerings.

Taxes 59

Taxes Tax Planning Accounting Clients 59

SEI

AUGUST 17, 2022

SEI Regulatory Services helps investment managers and institutions meet reporting and compliance requirements for pooled vehicles, alternative vehicles, separate accounts, sovereign wealth funds, family offices, and more—benefiting from a unique data warehouse approach, team of industry experts, and a single comprehensive platform.

Financial Services 52

Financial Services Compliance Commission Assets 52

Inside Information

APRIL 1, 2024

One might argue that the reps are paying for access to commissionable products, and the other primary benefit they receive is compliance supervision—making sure they are in fairly strict compliance with the sales-related rules that FINRA and the SEC have promulgated.

Compliance 40

Compliance Commission Sales Financial Services 40

Harness Wealth

OCTOBER 11, 2023

Conduct a risk assessment, review access controls, and ensure compliance with industry standards. Secure Client Communications: Choose a secure client portal that integrates with your existing cloud accounting software. Regularly update this assessment to stay ahead of emerging cybersecurity risks.

Accounting 59

Accounting Taxes Clients Communication 59

Carson Wealth

AUGUST 21, 2023

Retail sales surged in July and are up 5% over the past three months after adjusting for prices. Retail sales and food services rose 0.7% One month may be noisy, but even the three-month average shows retail sales rose 7% at an annualized pace. That has played out exactly as history suggested. Here’s a quick recap.

Marketing 52

Marketing Marketing Economy Retail 52

Sara Grillo

JUNE 2, 2022

Or, advisors who hustle and sell aggressively, push products to meet sales quotas, all the while neglecting their clients that they already “sold” – those are the people who may rank high by this metric. What about straightforwardness of communication? Community involvement is a qualitative factor. What about fiduciary standard?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Indigo Marketing Agency

AUGUST 11, 2020

Way back when I was working at one large marketing firm serving advisors, I ran a statistical analysis to see which efforts correlated most with new sales revenue. And even if they don’t take action right then, they move on to the next stage of the sales funnel where you can continue to nurture that lead. Guess what? It was webinars.

Financial Advisor 52

Financial Advisor Clients Sales Risk Analysis 52

The Big Picture

SEPTEMBER 10, 2024

Mike Wilson has been with Morgan Stanley since 1989, rising up through the ranks of institutional sales, trading, investing, banking to eventually becoming Chief Investment Officer and Chief US Equity Strategist. And then I went into really more of a sales role in the nineties. We were dealing with clients from a sales standpoint.

Valuation 162

Valuation Clients Investing Investments 162

Trade Brains

JULY 7, 2023

Tata Elxsi has three key verticals: automotive, media, broadcast & communications, and healthcare. The recovery in the automobile industry, rising healthcare spending in the wake of the Covid-19 pandemic and growth of OTT platforms aided the company to record higher sales. and 24% in FY23.

Planning 52

Planning Healthcare Sales Electronics 52

The Big Picture

JULY 26, 2022

WEAVER: Well, thankfully, we were — I really communicated a lot with Doug and Tom, and they understood. RITHOLTZ: And so it’s less focused on winning that one big sale and it’s more about building a business that has a fairly steady revenue stream? They could see us getting better. WEAVER: That’s right.

Consulting 298

Consulting Numbers Management Investing 298

Brown Advisory

SEPTEMBER 12, 2016

We bought ARM Holdings in July 2011 and held on even as oversupply slowed growth in smartphones sales. This communication and any accompanying documents are confidential and privileged. We bought shares in WhiteWave in December 2015, in recognition of the healthy-living category of foods moving mainstream.

Food 52

Food Executive Compensation Portfolio Management Valuation 52

Brown Advisory

SEPTEMBER 12, 2016

We bought ARM Holdings in July 2011 and held on even as oversupply slowed growth in smartphones sales. This communication and any accompanying documents are confidential and privileged. We bought shares in WhiteWave in December 2015, in recognition of the healthy-living category of foods moving mainstream.

Food 52

Food Executive Compensation Portfolio Management Valuation 52

Brown Advisory

NOVEMBER 12, 2015

However, Congress failed to extend a number of important provisions, such as the ability to make direct rollovers to charities from an IRA and the deduction for state sales taxes. Sales: Sales of assets between family members (or family trusts or entities) that are supported in part with a note also can take advantage of these low rates.

Planning 52

Planning Taxes Distribution Medical 52

The Big Picture

FEBRUARY 13, 2023

And then somebody convinced me to go into sales and trading, and I decided to do that. Tell us a little bit about what you do on Twitter and how was it getting that through legal and compliance? RIEDER: Well, first of all, anything I tweet goes through legal and compliance before it gets out there, first part. RIEDER: Thanks.

Economy 147

Economy Numbers Marketing Marketing 147

Inside Information

OCTOBER 30, 2021

Could one of those sentences state that a brokerage firm, broker-dealer or other sales organization will NOT, ever, use the word ‘fiduciary’ in its disclosure, and so consumers should look for that word? “It’s a great idea,” says Rostad. Or will brokers go back to winning sales contests?

CFP 40

CFP Commission Investing Investments 40

Indigo Marketing Agency

APRIL 23, 2020

I’ve talked to him extensively about what he’s doing, how he’s communicating with his clients. So we’re not talking about sales calls. And so, if you haven’t already been proactive about communicating with your existing clients now is the time to act. And so, I think a lot about advisors like you.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Midstream Marketing

AUGUST 13, 2024

Because of new rules and compliance needs, financial advisors must make sure their marketing activities meet industry standards. It helps them talk to clients, share useful info, and increase sales. Use clear communication that relates to each group of clients. Use clear communication that relates to each group of clients.

Financial Market 52

Financial Market Planning Marketing Marketing 52

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. And it’s just all hourly, there’s no way you win there at all, no product sales. For advise on such matters, contact a legal or compliance advisor.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Brown Advisory

JUNE 12, 2017

Wells Fargo, Incentive Systems and Corporate Culture The first question of the day focused on the scandal at Wells Fargo over sales practices and how to avoid the same at Berkshire given its decentralized corporate structure. All the big brokerage firms have large compliance departments, and they should.

Investing 52

Investing Investments Ethics Taxes 52

Brown Advisory

JUNE 12, 2017

The first question of the day focused on the scandal at Wells Fargo over sales practices and how to avoid the same at Berkshire given its decentralized corporate structure. All the big brokerage firms have large compliance departments, and they should. Wells Fargo, Incentive Systems and Corporate Culture.

Investing 52

Investing Investments Ethics Taxes 52

Sara Grillo

MAY 8, 2023

Indexed universal life (IUL) is often sold using smoke-and-mirrors sales shams, but in this podcast we’ll expose the truth! Listen to this if you are a financial advisors or consumer who wants to see through the crap and make better decisions about whether IUL is good for you (or your client) or NOT. And that would be a huge problem.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

The Big Picture

JANUARY 24, 2023

There was XO Communication and McLeod. On the other hand, a lot of these businesses, you know, the entrepreneur had built it up to a certain size, had never done an acquisition, had never built the sales force, had never made technology investments in the full way, had never gone international. RITHOLTZ: I recall.

Investing 263

Investing Investments Numbers Banking 263