Wealth Management

SEPTEMBER 29, 2023

The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1 billion in collective penalties.

Communication 342

Communication Investment Advisor Investments Investing 342

Nerd's Eye View

MARCH 21, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a report from Cerulli Associates found that, amidst an industry-wide trend towards comprehensive financial planning and away from pure transaction-based investment management, asset-based fees currently represent 72.4%

Financial Planner 228

Financial Planner Commission Communication Clients 228

Nerd's Eye View

NOVEMBER 4, 2024

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: Advisor sales enablement platform Nitrogen has announced its own feature for extracting information from prospects' investment statements that can be automatically fed into Nitrogen's analysis and proposal generation tools, which (..)

Estate Planning 243

Estate Planning Planning Communication Clients 243

Indigo Marketing Agency

MARCH 20, 2025

Recession Concerns & Market Volatility: How Financial Advisors Should Communicate With Clients As financial advisors , youre well aware that so far the 2025 financial market has been more unpredictable than a toddler. Why Proactive Communication Matters If theres one thing more unpredictable than the markets, its human emotion.

Financial Advisor 69

Financial Advisor Communication Marketing Marketing 69

Nerd's Eye View

JUNE 19, 2023

A better way to implement and communicate fee increases may be one that is centered around providing more value to the client in exchange for the higher fee.

Communication 246

Communication Clients Planning Financial Advisor 246

Nerd's Eye View

APRIL 11, 2025

In addition, Atkins' arrival could also mean the end of the pending RIA outsourcing and custody rules proposed under Gensler, a reduced focus on monitoring advisors' off-channel communications, and a new regulatory framework for digital assets.

Financial Planner 162

Financial Planner Communication Commission Clients 162

Nerd's Eye View

FEBRUARY 24, 2025

In this guest post, Tim Goodwin, founder of Goodwin Investment Advisory, shares how his firm approached this challenge. He explains how they identified which clients were no longer profitable, developed an alternative service model to offer these clients, mentally prepared for the transition, and effectively communicated the changes.

Clients 211

Clients Communication Numbers Management 211

Don Connelly & Associates

DECEMBER 16, 2024

Whether planning for retirement, investing in volatile markets, or managing tax implications, clients are often presented with intricate information that can leave them overwhelmed, confused, and anxious, undermining their ability to make informed decisions.

Communication 52

Communication Financial Advisor Financial Planning Clients 52

Nerd's Eye View

JANUARY 31, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that following the change of administration (and a new incoming chair of the SEC), the Investment Adviser Association is seeking to find ways to help RIAs (particularly smaller firms) manage the compliance responsibilities they (..)

Financial Planner 245

Financial Planner Retirement Planning Compliance Taxes 245

Nerd's Eye View

MARCH 3, 2025

This month's edition kicks off with the news that Morningstar Office will be shutting down in early 2026 as a part of Morningstar's ongoing effort to refocus on its core investment data and analytics business – forcing advisors currently using the tool to switch (which might be a net positive for many of those advisors who have long complained (..)

Estate Planning 173

Estate Planning Portfolio Management Communication Planning 173

Nerd's Eye View

JUNE 15, 2023

For many financial advisors, keeping an open line of communication with clients is a key component of building trust, understanding the client’s values, and developing a meaningful plan to help them reach their financial goals. pressure from family members, an attractive 'deal' offered by an investment management firm, etc.)

Clients 242

Clients Investments Investing Communication 242

Nerd's Eye View

NOVEMBER 14, 2024

With revenue rooted in more predictable, recurring income, many advisors were able to step off the relentless 'treadmill' of constant sales, allowing them to invest in growth by hiring staff and delegating tasks. Yet, even for advisors who understand the value of delegation, actually letting go is often easier said than done.

Financial Advice 246

Financial Advice Communication Sales Assets 246

Wealth Management

SEPTEMBER 30, 2024

Private bankers and retirement planners will increasingly use AI to invest and even communicate, but the human element will always be crucial.

Financial Advisor 279

Financial Advisor Communication Retirement Investments 279

Nerd's Eye View

JULY 25, 2024

As a first step towards making a client's transition away from a legacy advisor – particularly when the paired advisors have different communication and/or planning styles – as smooth as possible, the next-gen advisor might seek to replicate the legacy advisor's meeting structure and agenda in order to keep clients on an even keel.

Communication 172

Communication Clients Financial Planning Planning 172

Wealth Management

JANUARY 23, 2024

Morningstar research finds trust, communication and behavioral guidance may be more important to client retention than returns on investment.

Communication 288

Communication Clients Investments Investing 288

The Big Picture

NOVEMBER 22, 2024

Corey’s work has been published in the Journal of Indexing and the Journal of Alternative Investments. He is also the host of the popular podcast on quantitative investing “Flirting with Models.” ” We discuss how he launched Newfound Research in his dorm in college, running quantiitative models.

Communication 182

Communication Government Investing Investments 182

Nerd's Eye View

DECEMBER 28, 2023

Throughout history, there has been an age-old question of the difference between an investment and an expense. What if there was a way to shift our financial mindset about expenses from one of endless sunk costs to one of intentional investment? But what if there was an alternative path? activities.

Investments 244

Investments Investing Communication Education 244

Investment Writing

APRIL 15, 2025

Investment commentary authors often know the markets well, but lack writing and editing expertise. Ive learned some lessons about how to edit investment commentary that I share below with you. Instability in the Middle East will continue, and heres how it affects our investing. Titles should communicate your main topic.

Investing 59

Investing Investments Clients Communication 59

Nerd's Eye View

AUGUST 26, 2024

Over the last 50 years, even the most substantial changes to occur – such as the movement away from commissions and towards fee-based compensation, and the shift from an investment-centric approach to more holistic financial planning – have taken place over decades and, in many cases, are still ongoing.

Communication 173

Communication Commission Financial Advice Planning 173

Nerd's Eye View

JANUARY 6, 2025

FINNY AI, an AI-powered prospecting tool, has raised $4.2

Startup 188

Startup Financial Advisor Clients Portfolio Management 188

The Big Picture

APRIL 15, 2025

Whatever the final tariff situation, the White House can clearly learn from the communication strategies the Federal Reserve has perfected. ~~~ We are not privy to the discussions inside the Oval Office. On the corporate side, companies hold off on big CapEx spending, building new plants, investments, and hiring.

Economics 318

Economics Economy Communication Marketing 318

Calculated Risk

OCTOBER 12, 2022

Participants noted that the Committee's commitment to restoring price stability, together with its purposeful policy actions and communications, had contributed to a notable tightening of financial conditions over the past year that would likely help reduce inflation pressures by restraining aggregate demand.

Communication 363

Communication Economics Risk Management Management 363

Nerd's Eye View

AUGUST 16, 2024

Notably, this announcement included the first off-channel communication case brought by the SEC as a result of a referral from an RIA exam, which could lead examiners to focus on off-channel communications during regular RIA examinations.

Financial Planner 246

Financial Planner Communication Retirement Commission 246

Abnormal Returns

FEBRUARY 22, 2024

wired.com) A Q&A with Margot Susca author of "Hedged: How Private Investment Funds Helped Destroy American Newspapers and Undermine Democracy." thehustle.co) Investing The case for venture capital. aeon.co) Communication A changing climate requires skilled communicators to explain what is going on.

Communication 261

Communication Investing Investments 261

Abnormal Returns

OCTOBER 21, 2024

riabiz.com) XYPN Planning Network has launched a new registered investment advisor corporate affiliation model, Sapphire. ft.com) Communication is key when it comes to families. (youtube.com) The biz Schwab Advisor Solutions will look to boost revenue, just not through custody fees.

CFP 283

CFP Communication Investment Advisor Management 283

Nerd's Eye View

NOVEMBER 24, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that FINRA has issued a proposal to allow broker-dealers to advertise hypothetical performance data to institutional and high-net-worth investors, which would bring the rules for broker-dealers largely in line with (..)

Financial Planner 246

Financial Planner Communication Insurance Advertising 246

Abnormal Returns

APRIL 30, 2024

Strategy Widen your investing lens. abnormalreturns.com) Adviser links: communication skills. awealthofcommonsense.com) The best investors are running their own race. klementoninvesting.substack.com) Walmart Walmart ($WMT) is launching a new in-house brand, 'bettergoods.' abnormalreturns.com) What you missed in our Monday linkfest.

Financial Advising 284

Financial Advising Communication Media Economy 284

Nerd's Eye View

APRIL 26, 2024

Also in industry news this week: The Federal Trade Commission released a final rule that would ban most non-compete agreements, which could lead to an increasing number of non-solicit agreements (and, potentially, lawsuits regarding their enforcement) between financial planning firms and their advisors The Securities and Exchange Commission issued (..)

Financial Planner 246

Financial Planner Commission Communication Financial Advisor 246

Midstream Marketing

OCTOBER 30, 2024

Introduction In today’s changing finance world, registered investment advisors (RIAs) must comply with the provisions of the marketing rule, including entering into a written agreement, and must not include any untrue statement of a material fact to stand out from others. Clients looking for investment advice have many options.

Investment Advisor 52

Investment Advisor Investments Investing Ethics 52

Nerd's Eye View

OCTOBER 10, 2022

Communicating ongoing value to clients and prospects can be a challenge for financial advisors. Although there are many ways to articulate how an advisor can create value for a client, there is no guarantee that any one particular method will resonate with every potential client.

Communication 130

Communication Clients Financial Advisor Financial Planning 130

Abnormal Returns

FEBRUARY 27, 2024

Markets Communications and health care are leading the U.S. biopharmadive.com) Strategy What happens when you invest right before a bear market? msn.com) Fund management Warren Buffett could have continued running investment partnerships with high fees, but he didn't. market in 2024.

Advertising 283

Advertising Financial Advising Communication Economy 283

Abnormal Returns

SEPTEMBER 5, 2022

bloomberg.com) Daniel Crosby talks "all duration investing" with Cullen Roche who is the Founder and Chief Investment Officer of Discipline Funds. thinkadvisor.com) All communication is lossy, so act accordingly. (kitces.com) Eric Balchunas and Joel Weber talk with Patrick O'Shaughnessy about the case for custom indexing.

Wealth Management 245

Wealth Management Communication Retirement Management 245

The Big Picture

JULY 23, 2022

This week, we speak with Graham Weaver, who is the founder and CEO of Alpine Investors, a private equity firm in San Francisco that invests in software and services. ” But his investors stayed with him, impressed by his communication throughout the rough period.

Communication 310

Communication Investing Investments Marketing 310

The Big Picture

MAY 20, 2023

As president, she is responsible for corporate sustainability and responsible investing; Man Solutions and Man FRM; central trading, funds treasury and bank relationships; operations; financial crime; corporate real estate; and communications. A qualified barrister in the UK, she has worked in the investment industry since 1994.

Compliance 312

Compliance Communication Government Banking 312

Abnormal Returns

FEBRUARY 12, 2024

Podcasts Brendan Frazier talks with Sten Morgan, the founder of Legacy Investment Planning, about better communicating with clients. investmentnews.com) Advisers Why private equity hasn't tired of investing in wealth management firms yet. financial-planning.com) Why diversity is an advantage for wealth management firms.

Wealth Management 257

Wealth Management Retirement Communication Investment Planning 257

Nerd's Eye View

OCTOBER 20, 2022

And though clients may mean well, making changes to investments based on political events is often not a good idea for the long-term health of their financial plans, as well-designed portfolios are designed to safeguard against market turbulence that might result from those events.

Portfolio 246

Portfolio Clients Financial Planning Communication 246

Investment Writing

DECEMBER 17, 2024

My friend, financial editor Harriett Magee, found that sources including the Barron’s Dictionary of Finance and Investment Terms agreed with Treasuries. Follow this advice, no matter what you decide It’s important to use your words consistently in your corporate communications. It’s bit wordy, but correct.

Communication 98

Communication Banking Investing Investments 98