Nerd's Eye View

JUNE 4, 2024

Welcome to the 388th episode of the Financial Advisor 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.

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Nerd's Eye View

JUNE 4, 2024

Welcome to the 388th episode of the Financial Advisor 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.

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Nerd's Eye View

MAY 28, 2024

Welcome to the 387th episode of the Financial Advisor 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.

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Nerd's Eye View

MAY 28, 2024

Welcome to the 387th episode of the Financial Advisor 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.

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Sara Grillo

OCTOBER 21, 2022

For those looking to crack in and get a job at an RIA firm and become a financial advisor – good news! I am a CFA® charterholder and I used to be a financial advisor. I have a weekly newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.”

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Walkner Condon Financial Advisors

APRIL 21, 2023

What does it mean to be a Fee-Only financial advisor ? Fee-Only financial advisors 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.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

XY Planning Network

JULY 23, 2024

Becoming an independent fee-only financial advisor 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.

Fee Only 83

Fee Only Compliance CFP Financial Services 83

XY Planning Network

DECEMBER 19, 2022

Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors be successful. 5 MIN READ. As 2022 comes to a close, we rounded up our top 10 most-viewed blogs published this year.

Financial Advisor 78

Financial Advisor Fee Only Financial Planner Financial Planning 78

XY Planning Network

APRIL 3, 2023

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. ?

Financial Advisor 75

Financial Advisor CFP Compliance Management 75

XY Planning Network

JUNE 5, 2023

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.

Financial Advisor 65

Financial Advisor Compliance Financial Planning Business Planning 65

XY Planning Network

FEBRUARY 20, 2023

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!

Taxes 74

Taxes Financial Advisor Compliance Numbers 74

XY Planning Network

JUNE 5, 2023

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.

Financial Advisor 52

Financial Advisor Compliance Financial Planning Business Planning 52

XY Planning Network

APRIL 1, 2024

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?

Compliance 98

Compliance Financial Planning Planning Management 98

XY Planning Network

FEBRUARY 12, 2024

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?

Compliance 103

Compliance Financial Planning Planning Management 103

XY Planning Network

AUGUST 15, 2022

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.

Compliance 87

Compliance Fee Only Financial Advisor 87

XY Planning Network

NOVEMBER 14, 2022

For some financial advisors, it may have been decades—because until recently, financial advisors 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.

Education 93

Education Financial Advisor Clients Fee Only 93

XY Planning Network

APRIL 15, 2024

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?

Compliance 83

Compliance Financial Planning Planning Management 83

Sara Grillo

MARCH 22, 2024

Please note: This list of flat fee and advice-only advisors by state is not an endorsement of any particular individual, their firm, or their services; please do your own research when selecting a financial advisor. If you are considering hiring a financial advisor, please do your own research.

Financial Planning 52

Financial Planning Fee Only Financial Planner Financial Advisor 52

XY Planning Network

MARCH 18, 2024

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?

Compliance 82

Compliance Financial Planning Planning Management 82

Sara Grillo

DECEMBER 13, 2024

Advice-only financial 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-only financial planner does.

Financial Planning 52

Financial Planning Compliance Financial Planner Fee Only 52

XY Planning Network

AUGUST 28, 2023

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?

Compliance 90

Compliance Financial Planning Planning Management 90

Sara Grillo

APRIL 11, 2022

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 financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. What is an hourly financial advisor?

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

The Big Picture

JANUARY 21, 2025

And suddenly every broker, every financial advisor 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.

Investing 147

Investing Investments Management Retirement 147

XY Planning Network

JUNE 13, 2022

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.

Management 52

Management Investments Investing Compliance 52

Sara Grillo

JANUARY 9, 2023

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 financial advisors do? Colorado Department of Regulatory Agencies.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

XY Planning Network

AUGUST 28, 2023

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?

Compliance 52

Compliance Financial Planning Planning Management 52

Inside Information

MAY 30, 2023

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.

Communication 40

Communication Sales Insurance Compliance 40

XY Planning Network

JANUARY 16, 2023

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?

Clients 78

Clients Assets Management Recruitment 78

Sara Grillo

MAY 8, 2023

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. I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

Sara Grillo

SEPTEMBER 26, 2022

I am a CFA® charterholder and financial advisor marketing consultant. I have a newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.” . I am an irreverent and fun marketing consultant for financial advisors. Get ready for a rumble, folks!

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

MAY 23, 2022

I am a CFA® charterholder and financial advisor marketing consultant. I have a newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.” I am an irreverent and fun marketing consultant for financial advisors. So please subscribe!

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

Sara Grillo

MARCH 16, 2024

The Transparent Advisor Movement is taking Kansas City! Immersion2025 will be the second advice-only and flat fee financial advisor conference in our industry’s history. This was the first and largest in-person gathering of flat fee advisors! Will you join us? Hotel details to be announced later.

Financial Advice 52

Financial Advice Communication Financial Advisor Consulting 52

The Big Picture

APRIL 25, 2023

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.

Compliance 162

Compliance Clients Wealth Management Management 162

XY Planning Network

JANUARY 13, 2025

But heres the thing: if youve got these six key areas nailed down, social media can be a game changer for not only your financial advisor'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.

Financial Advisor 104

Financial Advisor Media Compliance Marketing 104

Nerd's Eye View

OCTOBER 30, 2024

As fiduciaries, financial advisors are required to disclose any conflicts of interest that exist between themselves and their current and potential clients.

Advertising 246

Advertising Commission Marketing Marketing 246

XY Planning Network

FEBRUARY 17, 2025

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.

Compliance 61

Compliance Startup Financial Planning Planning 61