Abnormal Returns
OCTOBER 21, 2024
(youtube.com) The biz Schwab Advisor Solutions will look to boost revenue, just not through custody fees. 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.
Mullooly Asset Management
JUNE 30, 2022
In this week’s podcast, Tom and Casey discuss how crucial communication is for the investment advisor-client relationship. We take a different investment approach when money is needed in the short-term vs. growing it over the long-term.
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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.
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. Clear communication is key. This shows social proof.
Trade Brains
AUGUST 17, 2024
Recently, Nithin Kamath, Co-founder of Zerodha, a leading stockbroker in India, highlighted a significant challenge in the Indian financial market: the relatively low number of SEBI-registered investment advisors (RIAs) and research analysts (RAs). In fact, the number of registered RIAs appears to be declining.
Nerd's Eye View
JULY 8, 2024
Additionally, the upcoming Kitces Value Summit, coming December 12 , 2024, will tackle how real advisors provide and communicate their ongoing value to their clients. Along with the expanded CE offerings, we've also been reinvesting heavily into making the Kitces platform easier to use.
International College of Financial Planning
JUNE 14, 2023
Are you passionate about investments? If so, you can turn your passion into a profession by becoming a SEBI-registered investment advisor. SEBI has introduced guidelines for individuals aspiring to become investment advisors in India. This blog post will provide all the necessary information on this topic.
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