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Enjoy the current installment of "Weekend Reading For FinancialPlanners" - 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.
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Back in the day, financialplanners used to be able to place ads in the local paper and Yellow Pages to get clients. Of course, this is a scenario that leaves zero time to actually serve financial practice clients and manage their money! But thats still not good enough for financialplanners, given the highly regulated industry.
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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 financialplanner does. If you have questions, please contact me.
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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 financialadvisor. If you are considering hiring a financialadvisor, please do your own research.
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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!
And so Orion now has a wealth business and a tech business that work together to help financialadvisors save time and effort and spend more time with their clients. I talked to as many financialadvisor clients as I possibly could. That’s right. So tell us a little bit about that.
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.
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