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Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.
Let's talk compliance. Sometimes that one word has the power to make financialadvisors break out in a sweat. Many advisors—especially those who haven't managed their own compliance previously—can feel like it's the "monster in the closet." But it doesn't need to be!
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a study from Cerulli Associates indicates a lack of fee transparency represents a significant hurdle for many investors when considering working with a financialadvisor.
If you're an established financialadvisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns. Managing this process effectively is crucial for retaining clients and ensuring compliance.
Over the past year, we've published articles written with one purpose in mind: to help independent financialadvisors be successful. From RIA compliance best practices to using behavioral marketing tactics to get more clients, this list is loaded with one helpful resource after another to send you into 2024.
Fee-Onlyfinancialadvisors and firms receive no sales-related compensation or incentives. They are compensated only by the fee the client pays. This can include mutual funds, insurance policies, annuities, and other financial products. We do not charge a separate fee for financial planning services.
Welcome to the 388th episode of the FinancialAdvisor Success Podcast ! Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. Welcome everyone! My guest on today's podcast is Freeman Linde.
Welcome to the 388th episode of the FinancialAdvisor Success Podcast ! Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. Welcome everyone! My guest on today's podcast is Freeman Linde.
Welcome to the 387th episode of the FinancialAdvisor Success Podcast ! Welcome everyone! My guest on today's podcast is Jenny Martella. Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5 Read More.
Welcome to the 387th episode of the FinancialAdvisor Success Podcast ! Welcome everyone! My guest on today's podcast is Jenny Martella. Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5 Click the icon below to listen.
For those looking to crack in and get a job at an RIA firm and become a financialadvisor – good news! I am a CFA® charterholder and I used to be a financialadvisor. I have a weekly newsletter in which I talk about financialadvisor lead generation topics which is best described as “fun and irreverent.”
What does it mean to be a Fee-Onlyfinancialadvisor ? Fee-Onlyfinancialadvisors and firms receive no sales-related compensation or incentives. They are compensated only by the fee the client pays. This fee covers not only investment management, but also financial planning.
Becoming an independent fee-onlyfinancialadvisor can seem overwhelming, lonely, and stressful. Add to that the burdens of everyday life—or, heaven forbid, a major life-changing event—that can almost make you feel like your dream career is unattainable.
Over the past year, we've published articles written with one purpose in mind: to help independent financialadvisors be successful. 5 MIN READ. As 2022 comes to a close, we rounded up our top 10 most-viewed blogs published this year.
If it often feels as if your to-do list never ends with administrative tasks and compliance management, on top of your regular client meetings, you’re not alone! 3 MIN READ Raise your hand if you've ever wondered how you can boost your productivity and become more efficient. ?
We rounded up some of XYPN's best resources for advisors who want to launch their own financial planning firms. From tackling compliance to creating a business plan and everything in between, this roundup of resources will set you up for firm launch success.
There are customers and employees, marketing and keeping an eye on industry trends, cash flow and compliance. 8 MIN READ There are a million things to keep track of when running a business. With these come a number of different dates to keep track of, which as a small business owner or a solopreneur can get overwhelming, fast. to address!
We rounded up some of XYPN's best resources for advisors who want to launch their own financial planning firms. From tackling compliance to creating a business plan and everything in between, this roundup of resources will set you up for firm launch success.
How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?
How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?
Let’s dive into several ways to keep your compliance organized beyond the filing cabinet. It can evoke a certain amount of nerves on its own (especially if it’s your first time!) Double that stress if you are not well organized.
For some financialadvisors, it may have been decades—because until recently, financialadvisors who did not hold a professional designation were not required to complete any continuing education. It may have been quite a while since you sat through a college course or studied to pass a Series exam.
How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?
Please note: This list of flat fee and advice-onlyadvisors by state is not an endorsement of any particular individual, their firm, or their services; please do your own research when selecting a financialadvisor. If you are considering hiring a financialadvisor, please do your own research.
How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?
Advice-onlyfinancial planning is fee-only comprehensive financial planning without the expectation or even the option to manage any client investments. Financial planning is offered as a stand-alone product; it is the only thing that an advice-onlyfinancial planner does.
How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?
Today I have Rick Ferri with me who is an hourly advisor, a CFA charterholder, a Marine, and the host of the Bogleheads podcast. I am a CFA® charterholder and financialadvisor marketing consultant. I am an irreverent and fun marketing consultant for financialadvisors. What is an hourly financialadvisor?
And suddenly every broker, every financialadvisor where they were operating through Merrill Lynch or Schwab could sell those funds and indexing was available to, all prior to that, there were a lot of brokers who would never have sold an index fund because they didn’t have access to Vanguard’s platform.
Outside managers offer affordable investment management services for smaller accounts and can be a wonderful option for advisors and their clients, just keep in mind that leveraging an outside manager comes along with some regulatory considerations and compliance to-dos.
What are the changes in Colorado investment advisor regulations regarding financial planning? What is happening in other states regarding reform of financial planning regulation, and why we expect these changes to become more widespread. What should financialadvisors do? Colorado Department of Regulatory Agencies.
How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?
Another uncomfortable fact is that these BDs have enormous compliance departments which supervise all of the communications put out by the reps and their offices—which is required by FINRA. The compliance people have to pre-approve their communications. Sales are important, but the BD executives won’t be talking about that.
When advisors start a new job with a broker-dealer or RIA, likely the last thing they’re concerned about is leaving it—or reading the fine print on their employment agreement regarding terms they may be bound by if they depart. 4 MIN READ. New year, new firm?
Listen to this if you are a financialadvisors 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. I am a CFA® charterholder and financialadvisor marketing consultant. I am an irreverent and fun marketing consultant for financialadvisors.
I am a CFA® charterholder and financialadvisor marketing consultant. I have a newsletter in which I talk about financialadvisor lead generation topics which is best described as “fun and irreverent.” . I am an irreverent and fun marketing consultant for financialadvisors. Get ready for a rumble, folks!
I am a CFA® charterholder and financialadvisor marketing consultant. I have a newsletter in which I talk about financialadvisor lead generation topics which is best described as “fun and irreverent.” I am an irreverent and fun marketing consultant for financialadvisors. So please subscribe!
The Transparent Advisor Movement is taking Kansas City! Immersion2025 will be the second advice-only and flat feefinancialadvisor conference in our industry’s history. This was the first and largest in-person gathering of flat feeadvisors! Will you join us? Hotel details to be announced later.
Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.
But heres the thing: if youve got these six key areas nailed down, social media can be a game changer for not only your financialadvisor's marketing strategy but also your RIA practice. And trust me, building a strong social media presence isnt just about posting cute cat videos or motivational quotes.
As fiduciaries, financialadvisors are required to disclose any conflicts of interest that exist between themselves and their current and potential clients.
The financial planning industry is evolving fast, and advisors are searching for better ways to build, grow, and run their firmswithout feeling bogged down by compliance and operational headaches.
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