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Welcome to the 416th episode of the FinancialAdvisor Success Podcast ! Fran is the CEO of Toler Financial Group, an RIA based in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households. Welcome everyone! My guest on today's podcast is Fran Toler.
Welcome to the 416th episode of the FinancialAdvisor Success Podcast ! Fran is the CEO of Toler Financial Group, a DBA firm under the RIA Rossby Financial, in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households. Welcome everyone!
Financialadvisors have a fiduciary obligation to act in their clients' best interests, and at the same time are prohibited by state and SEC rules from making misleading statements or omissions about their advisory business.
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' financialadvice.
Welcome to the November 2023 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, and underlying trends and developments that are emerging in the world of technology solutions for financialadvisors!
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the Treasury Department has finalized rules requiring most SEC-registered RIAs to implement risk-based Anti-Money Laundering and Countering the Financing of Terrorism programs, including a requirement to report suspicious (..)
By adopting these campaigns, advisors can achieve better results, connect with their target audience, and grow their business successfully. Introduction In todays challenging market, financialadvisors need strong financialadvisor marketing strategies. This is why video marketing works well for financialadvisors.
riabiz.com) AI Is AI an existential threat to the business of financialadvice? investmentnews.com) Compliance How to conduct and document an annual compliance review. riabiz.com) The upside of pro bono financial planning. citywire.com) A list of the top blogs for financialadvisors to read.
Key Highlights Content marketing helps financialadvisors stand out and earn trust from potential clients. When advisors share valuable content for a specific target audience, they can attract new clients and boost their online presence. It helps advisors show their thought leadership and grow their business.
This latter exemption means that financialadvisors with an ownership interest in their company (even a very small one) could still be subject to a non-compete as a term of the sale of their stake (which could impact how they value receiving an ownership interest in their firm).
One of the biggest fears that people have, when they are looking for a financialadvisor, is this: “Is it truly impossible for an advisor to say wire themselves a few million dollars from a client’s account?” I’m not a lawyer – so please don’t interpret anything I say here as legal advice.
Yet the need for advisor education – and the regulatory requirements to get it (in the form of Continuing Education obligations) – never ends, with the latest focus for most financialadvisors being on the ongoing expansion of NASAA's 2020 Model Rule that implemented the first Investment Advisor Representative (IAR) requirements to get (..)
Financialadvisors, as professionals whose clients rely on their advice to make financial decisions, are legally and financially responsible for the advice that they give. Because ultimately, it's better to be surrounded by others who take care in advising their clients than to be the only one doing so!
Key Highlights The financialadvice world is changing. 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.
There are a lot of people who consider their fees low but here’s a financialadvisor who claims to be charging 60-80% lower fees than the “full-service” wealth management firms who are his competition. What does low fee financialadvice actually look like, from the inside? Does he actually do this?
While it could be decades before we know those answers, at the moment, professionals across every industry, including financialadvice, are working to learn how they can leverage this new and remarkable tool to make their practices more efficient. Read More.
There were 36,000 financialadvisors in my country. We had little chance to adjust to the new world of financialadvice in Australia. Regulation changes in Australia, which is where I live, hit us hard and fast. Now, three years after the changes were announced, there are about 15,000.
There are other nonsense financialadvisor rankings such as Forbes and CNBC that I rip apart here too. I’m keeping a running tally of these BS advisor ranking lists and please let me know if there are any I am missing, I’ll put them on my hit list. I am a CFA® charterholder and financialadvisor marketing consultant.
Today I have Brian Williams of Northshire Consulting and were going to be talking about how financialadvisors can help improve 401k plan access to the American people who are working at small businesses who currently do not offer them. What about those who dont have the money for a financialadvisor? Thats not it.
We’re happy to announce that Indigo Marketing Agency was featured in Bob Veres’s August 2022 issue of Inside Information , a go-to resource for financial planning, financialadvisor, and investment advisor professionals. Why Are Testimonials Important for FinancialAdvisors? Indigo’s Testimonial Program .
This completely revolutionizes the way financialadvisors can market their services. But as an advisor, how do you effectively use the new testimonial rule in your marketing without running into compliance issues? Why Are Testimonials Important for FinancialAdvisors? The same is true for financialadvice.
I created this list of financialadvisors for small accounts (less than $300,000 in assets) because there are alot of schmucks out there hawking crap products to people with portfolio of this size, and I don’t think it’s fair. I am an irreverent and fun marketing consultant for financialadvisors.
In this blog, Scott Salaske of Firstmetric and I discuss the proper way to read a Form ADV so that you can get the information you need to make an informed choice and avoid working with a financialadvisor who is a lying, deceptive grifter. This is super important for anyone looking to pick a good financialadvisor.
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.”
There’s a ton of bogus crap advice out there that people doll out when they are trying to convince you to hire them as a financialadvisor. Use these tips to find a good financialadvisor and avoid the lying grifters! I was recently featured in a MarketWatch article about how to find a good financialadvisor.
Watch as all h&#@ breaks loose discussing the question of broker vs. financialadvisor, commissions, fees, value, and more! I am a CFA® charterholder and financialadvisor marketing consultant. I am an irreverent and fun marketing consultant for financialadvisors. This debate went psycho at times.
So here’s a blog about some things that ethical financialadvisors do in the hopes they will serve as an example of right behavior for the rest of the industry to follow. I am a CFA® charterholder and financialadvisor marketing consultant. I am an irreverent and fun marketing consultant for financialadvisors.
How to Grow on Twitter as a FinancialAdvisor. By Jordan Collins Tucker Advisors Senior Digital Marketing Specialist. Today we will show you how to grow on Twitter as a financialadvisor. Before we dive in, we want to explain how this can inform and grow your financial advisory practice. Table of Contents .
Key Highlights Content marketing helps financialadvisors stand out. When advisors share valuable content for a specific target audience, they can attract new clients. By tracking key metrics, advisors can adjust their strategies. Introduction In today’s world, financialadvisors must be strong online.
Most financialadvisors already know the importance of using valuable content to reach more clients. As a financial professional, you know that providing financialadvice is a highly personalized service. When it comes to relationships, trust is everything—especially as a financialadvisor.
FOR IMMEDIATE RELEASE NEW YORK, NY — September 3, 2024: Harness , a New York-based fintech startup that seeks to make bespoke tax & financialadvice accessible to more households, is excited to announce the appointment of Will Bressman to its Board of Directors.
This completely revolutionizes the way financialadvisors can market their services. But as an advisor, how do you effectively use the new testimonial rule in your marketing without running into compliance issues? Why Are Testimonials Important for FinancialAdvisors? The same is true for financialadvice.
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?
Here is a template and some model text for a flat fee advisor website. You should get this run by compliance before publishing any of this text. You should ask compliance for them. Before we get into it, I’m assuming you’re visiting this page because you are a flat fee financialadvisor.
In this blog, we’ll break down industry jargon, share what various credentials indicate and explain why the financial services industry is so regulated. . Registration Standards for FinancialAdvisors. The first step in the competency stairway is regulatory compliance. .
An Advisor’s Guide to “The New Normal” of Business During COVID-19 It’s the “new normal” they say. “We So how is a financialadvisor supposed to “advise” amidst a lingering pandemic? And whatever is an approved format with compliance; keep in mind the security and archiving requirements for your communications.)
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. Are we in a market regime shift?
Key Highlights A good marketing plan is important for financialadvisors. This guide shows key strategies to build a financialadvisor marketing plan. Understanding the Importance of Marketing for FinancialAdvisorsFinancialadvisors offer valuable support. They can stand out from the crowd.
Guest: Eric Brotman , CFP®, AEP®, CPWA®, is a Principal and the Chief Executive Officer of BFG FinancialAdvisors. Eric began his financial planning practice in Baltimore in 1994, and founded Brotman Financial Group in 2003, which later became BFG FinancialAdvisors.
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? The move to financial planning transparency is aflame! Also, nothing in this podcast or blog can be interpreted as legal or complianceadvice.
when I first moved from Spain, and I learned a lot because I spent a lot of time with financialadvisors, which, as you know, is a key segment of our client base today. What is the financialadvice world like in Europe? And I think that the financialadvisors are used, but not as widely used as they are in the U.S.
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.
About Your Presenters: Claire Akin, MBA Claire Akin runs Indigo Marketing Agency, a full-service marketing firm serving top independent financialadvisors. She works closely with several of Barron’s Top 100 FinancialAdvisors to grow their AUM using digital marketing. I used to be an advisor with LPL Financial.
Category: Compliance. The Significance Of FinancialComplianceFinancialcompliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!
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