Wealth Management

SEPTEMBER 22, 2022

Valian complements the firm's established Pulse portfolio management and reporting platform.

Communication 353

Communication Portfolio Management Portfolio Management 353

Nerd's Eye View

JANUARY 9, 2025

On the other hand, the term "financial advice" often refers to much more than asset allocation and wealth management. Many firms also offer regular meetings, webinars, client portals, and other services to enhance the client experience.

Financial Advice 228

Financial Advice Asset Allocation Clients Wealth Management 228

Wealth Management

FEBRUARY 3, 2023

One would think that adding more ways to communicate and collaborate with teammates would make things easier.

Communication 241

Communication 241

Wealth Management

DECEMBER 9, 2022

Brad McMillan, managing principal and chief investment officer of Commonwealth Financial Network, explains the importance of strong communication during challenging markets.

Communication 264

Communication Management Investing Investments 264

Wealth Management

FEBRUARY 9, 2024

mirror other allegations concerning retaining electronic communications. The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co.

Communication 266

Communication Electronics 266

Wealth Management

NOVEMBER 5, 2024

UniFi by CAIA's Aaron Filbeck details the evolution of alternative investments and the importance of client communication.

Communication 242

Communication Clients Investing Investments 242

Wealth Management

JANUARY 6, 2023

New research from WealthManagement.com's WMIQ suggests firms are inhibiting growth by minimizing, and in many cases mishandling, marketing and client communications.

Communication 289

Communication Clients Marketing Marketing 289

Wealth Management

NOVEMBER 14, 2022

The regulatory organization’s interest in firms’ communications on “crypto asset products and services” follows the collapse of FTX last week.

Communication 246

Communication Assets 246

Wealth Management

OCTOBER 11, 2024

Our tech columnist discusses AI and compliance with the chief executive of one of the industry’s largest providers of communications compliance technology.

Compliance 263

Compliance Communication 263

Wealth Management

AUGUST 4, 2023

True personalization means taking the time to understand your clients' preferred learning styles and communication preferences to lay the foundation for fruitful dialogue, genuine comprehension of your advice, and ultimately, sound decision-making and action by the client.

Communication 244

Communication Clients 244

Wealth Management

MARCH 19, 2024

Lee, CEO of Keebeck Wealth Management, is teaming up with a new asset management, research and communications platform to achieve scale via ‘digital army.’

Wealth Management 291

Wealth Management Communication Assets Management 291

Wealth Management

NOVEMBER 5, 2024

UniFi by CAIA's Aaron Filbeck details the evolution of alternative investments and the importance of client communication.

Communication 221

Communication Clients Investing Investments 221

Wealth Management

JANUARY 29, 2025

Clearly explaining the technical aspects of the planners proposals aids in the successful implementation of estate plans.

Communication 267

Communication Estate Planning Clients Planning 267

Wealth Management

NOVEMBER 20, 2024

When the fiduciary and the beneficiary don’t engage with each other, it can create discord that leads to litigation.

Communication 238

Communication 238

Wealth Management

AUGUST 14, 2024

More than two dozen broker/dealers and RIAs agreed to pay a combined $392.75 million in penalties, including Raymond James, LPL, Edward Jones and Osaic, among others.

Communication 304

Communication 304

Abnormal Returns

FEBRUARY 12, 2024

Podcasts Brendan Frazier talks with Sten Morgan, the founder of Legacy Investment Planning, about better communicating with clients. riabiz.com) Does Citigroup ($C) have a path forward in wealth management? morningstar.com) Talent Wealth management firms are coming to realize they have a headcount problem.

Wealth Management 260

Wealth Management Retirement Communication Investment Planning 260

Wealth Management

AUGUST 9, 2024

According to the firm’s two recent quarterly filings, Raymond James has reached “a settlement in principle” with the commission’s Enforcement Division, including a $50 million fine.

Communication 293

Communication 293

Abnormal Returns

OCTOBER 30, 2023

kitces.com) AI How recommendation engines could work in wealth management. wsj.com) Family Communication is important for every family, but especially for the wealthy. kitces.com) Miami is becoming a wealth management hub for Latin America. (fa-mag.com) fa-mag.com)

Wealth Management 262

Wealth Management Retirement Planning Financial Advising Financial Advice 262

Wealth Management

OCTOBER 31, 2023

The modern workplace requires financial firms to move with the times.

Compliance 292

Compliance Communication 292

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 339

Communication Investment Advisor Investing Investments 339

Abnormal Returns

DECEMBER 4, 2023

Ali is a corporate marketing advisor who has seen many sides of the wealth management business. investmentnews.com) Everyone seemingly agrees that wealth management needs more women. institutionalinvestor.com) Why RIAs need to be more mindful of off-platform communications. popular.info)

Wealth Management 256

Wealth Management Financial Advice Financial Advising Communication 256

Abnormal Returns

NOVEMBER 7, 2022

investmentnews.com) What Goldman Sachs' ($GS) reorganization means for wealth management and Marcus. riabiz.com) Fifth Third Bank ($FITB) has launched an independent wealth advisory firm. financial-planning.com) How Morningstar ($MORN) Wealth is getting into the direct indexing game. thinkadvisor.com).

Compliance 276

Compliance Wealth Management Advertising Financial Advice 276

Wealth Management

MARCH 8, 2024

Introducing the Chicago RIA on International Women’s Day, Expressive led by 3 female partners and has licensed clinical psychologist on staff.

Communication 290

Communication License 290

Abnormal Returns

SEPTEMBER 5, 2022

standarddeviationspod.com) Jeff Malec talks wealth preservation with Homer Smith, the founder of Konvergent Wealth Management. thinkadvisor.com) All communication is lossy, so act accordingly. rcmalternatives.com) Brendan Frazier talks financial psychology with Brad Klontz.

Wealth Management 245

Wealth Management Communication Retirement Management 245

Wealth Management

SEPTEMBER 24, 2024

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.

Communication 287

Communication 287

Wealth Management

SEPTEMBER 13, 2023

Thursday, October 05, 2023 | 2:00 PM ET

Communication 269

Communication Clients 269

Wealth Management

AUGUST 1, 2023

Tuesday, August 22, 2023 | 2:00 PM ET

Communication 244

Communication Financial Advisor 244

Wealth Management

APRIL 25, 2023

“Personalization with efficiency” is key to building strong client relationships.

Communication 258

Communication Clients 258

Wealth Management

JULY 18, 2023

LPL is currently searching for a new CMO, with Heather Carter planning to depart after the firm’s annual advisor conference next month.

Communication 246

Communication Marketing Marketing Planning 246

Wealth Management

MARCH 2, 2023

Our tech columnist adds context and history to some private equity news, plus his take on a robo's demise and shares AcreTrader's latest accolade.

Communication 251

Communication 251

Nerd's Eye View

JANUARY 15, 2024

For clients, more frequent communication can be a source of behavioral coaching and helpful information that can better equip them to stay the course through rocky markets. Although newsletters are made to be sent to many people at once, from a client's perspective, they can be seen as a much more intimate form of communication.

Clients 246

Clients Communication Financial Advisor Wealth Management 246

Wealth Management

NOVEMBER 20, 2024

New tools automate the process of personalizing service and communications to improve the advisor-client relationship.

Financial Advisor 323

Financial Advisor Communication Clients 323

Nerd's Eye View

MARCH 29, 2024

Also in industry news this week: With the new “T+1” rules for trade settlements will go into effect in late May, the SEC has issued a risk alert for broker-dealers and RIAs outlining the requirements they face and areas of focus for the regulator during upcoming examinations A recent survey suggests that while client satisfaction with their (..)

Financial Planner 244

Financial Planner Insurance Coverage Financial Advisor Communication 244

Nerd's Eye View

MARCH 15, 2023

Risk management is a key part of many financial advisors’ value propositions. For instance, ensuring clients maintain the proper insurance coverage based on their needs is an important part of the financial planning process. At the same time, clients face another class of risks that advisors often do not consider: cyber.

Management 246

Management Clients Wealth Management Insurance Coverage 246

Wealth Management

JUNE 6, 2024

The SEC and FINRA are being transparent about their increased regulatory activity around off-channel communications and the marketing rule.

Communication 291

Communication Marketing Marketing 291

Wealth Management

JANUARY 13, 2025

The regulator found firm employees were using unapproved texting apps for business and failing to archive the communications. It follows earlier settlements made with large firms like Bank of America, Morgan Stanley, LPL and Raymond James.

Communication 294

Communication Banking 294

Wealth Management

NOVEMBER 13, 2024

While it joins a profusion of AI-powered communications applications, the startup's advisors have plenty of industry experience.

Startup 283

Startup Communication 283