This site uses cookies to improve your experience. To help us insure we adhere to various privacy regulations, please select your country/region of residence. If you do not select a country, we will assume you are from the United States. Select your Cookie Settings or view our Privacy Policy and Terms of Use.
Cookies and similar technologies are used on this website for proper function of the website, for tracking performance analytics and for marketing purposes. We and some of our third-party providers may use cookie data for various purposes. Please review the cookie settings below and choose your preference.
Used for the proper function of the website
Used for monitoring website traffic and interactions
Cookies and similar technologies are used on this website for proper function of the website, for tracking performance analytics and for marketing purposes. We and some of our third-party providers may use cookie data for various purposes. Please review the cookie settings below and choose your preference.
Compliance Financial Advisor Management 
Nerd's Eye View
DECEMBER 17, 2024
Welcome to the 416th episode of the Financial Advisor 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. Read More.
245 
Nerd's Eye View
MARCH 17, 2025
And with the advent of AI in particular, questions have emerged about whether technology will replace many human jobs, including financial advisors. Either way, the landscape of AI in advisor technology continues to evolve fast. Yet now, two years later, AI has not driven a mass wave of unemployment.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.
Book of Secrets on the Month-End Close
What Your Financial Statements Are Telling You—And How to Listen!
Are Robots Replacing You? Keeping Humans in the Loop in Automated Environments
Data Talks, CFOs Listen: Why Analytics Is The Key To Better Spend Management
Wealth Management
JANUARY 2, 2025
Thursday, January 16, 2025 | 2:00 PM ET
246 
Wealth Management
APRIL 27, 2023
Getting advisors on board with building a social media presence will help leverage authenticity, grow thought leadership, ensure compliance and get to know clients on a new level.
Nerd's Eye View
DECEMBER 17, 2024
Welcome to the 416th episode of the Financial Advisor 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!
244 
Wealth Management
FEBRUARY 13, 2025
Here's how financial advisors can stay compliant. iMessage isnt going anywhere, and neither are the regulators.
271 
Don Connelly & Associates
MARCH 3, 2025
Financial advisors must manage all aspects of their advisory business to ensure client satisfaction, business growth, and profitability. That includes compliance, marketing, business operations, financial management, and professional development.
XY Planning Network
MAY 8, 2023
Let's talk compliance. Sometimes that one word has the power to make financial advisors 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!
92 
Carson Wealth
FEBRUARY 4, 2025
Understanding Tax Compliance and Risk Management Ultra-high-net-worth individuals face unique tax challenges, including high rates and ever-changing complex tax codes. If managed improperly or inefficiently, tax issues could significantly erode your familys wealth and even lead to legal complications.
Wealth Management
OCTOBER 11, 2024
Testimonial IQ's co-founder and CEO explains why financial advisors should care about Google reviews, the role of compliance and more.
278 
Nerd's Eye View
SEPTEMBER 13, 2024
Also in industry news this week: A CFP Board study indicates that financial planners with the certification earn 10% more than other advisors and show very high levels of career satisfaction A Morningstar study has identified 4 main areas where investors find value from their financial advisors, which might not match an advisor's own list of top ways (..)
BlueMind
JULY 15, 2022
Category: Compliance. The Significance Of Financial Compliance Financial compliance 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!
98 
Don Connelly & Associates
NOVEMBER 18, 2024
We know that AI is rapidly transforming industries, and the financial services sector is no exception. Financial advisors are often overwhelmed by managing multiple tasks at once, especially when much of their time is consumed by administrative and back-office duties.
Nerd's Eye View
NOVEMBER 22, 2023
For all of the myriad ways financial advisors can structure and run their practices, firm owners generally encounter similar stages in the development of their firms.
246 
Midstream Marketing
JANUARY 24, 2025
Like any other business or professional service, financial advisors’ number one priority has become having a strong online presence. When it comes to building a financial advisor website, there are two main options to consider: cookie-cutter platforms like FMG and custom WordPress solutions.
Nerd's Eye View
JULY 31, 2024
For SEC-registered financial advisors, the prospect of an upcoming examination by the SEC can be a source of high anxiety.
246 
XY Planning Network
DECEMBER 9, 2024
If you're an established financial advisor 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.
78 
Nerd's Eye View
JULY 25, 2023
Welcome back to the 343rd episode of the Financial Advisor Success Podcast ! Rita is the Founder and President of Affiliated Advisors, a Super-OSJ with Royal Alliance that provides support to 90 financial advisors and collectively oversees $3.5 My guest on today's podcast is Rita Robbins. Read More.
Midstream Marketing
JANUARY 19, 2025
Explore advanced tactics like video marketing and PPC strategies tailored for financial advisors. Introduction Entering the world of digital marketing for financial advisors opens many ways to reach more people, find new clients, and stand out in a competitive field.
Nerd's Eye View
NOVEMBER 6, 2023
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 financial advisors!
246 
Nerd's Eye View
JULY 12, 2022
Welcome back to the 289th episode of the Financial Advisor Success Podcast ! Kamila is the CEO and Founder of Collective Wealth Partners, an independent RIA based in Atlanta, Georgia, that oversees nearly $25 million in assets under management for almost 175 client households. My guest on today's podcast is Kamila Elliott.
Nerd's Eye View
JUNE 23, 2023
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that amid a flurry of SEC-proposed rules for investment advisers, the Investment Adviser Association this week called on the regulator to assess whether the compliance burden these regulations would put on advisers outweighs (..)
Nerd's Eye View
JUNE 6, 2023
Welcome back to the 336th episode of the Financial Advisor Success Podcast ! Adam is a principal with RubinGoldman and Associates, and the Founder and CEO of Asset-Map, a financial planning tool that helps financial advisors create a visual representation of their clients’ financial situation, reaching over 1.25
246 
Nerd's Eye View
MAY 3, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a recent study indicates that nearly a third of advisors in the independent broker-dealer channel have considered transitioning to the RIA channel during the past year as they seek higher payouts and not just "independence" but (..)
Nerd's Eye View
APRIL 22, 2024
Broadly speaking, there are 2 models of working as a financial advisor: operating independently as a firm owner or with a large affiliate platform such as a wirehouse broker-dealer, independent broker-dealer, or larger corporate RIA. Deciding which model to work under is a key moment in beginning or evolving a career as an advisor.
246 
XY Planning Network
DECEMBER 18, 2023
Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors 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.
Midstream Marketing
DECEMBER 10, 2024
By adopting these campaigns, advisors can achieve better results, connect with their target audience, and grow their business successfully. Introduction In todays challenging market, financial advisors need strong financial advisor marketing strategies. This is why video marketing works well for financial advisors.
Nerd's Eye View
JANUARY 30, 2024
Welcome back to the 370th episode of the Financial Advisor Success podcast ! Tim is the founder of Goodwin Investment Advisory, an RIA based in Woodstock, Georgia, that oversees $275M in assets under management for 370 client households. My guest on today's podcast is Tim Goodwin.
Nerd's Eye View
JULY 31, 2024
For SEC-registered financial advisors, the prospect of an upcoming examination by the SEC can be a source of high anxiety.
189 
Nerd's Eye View
AUGUST 7, 2023
Welcome to the August 2023 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, underlying trends, and developments that are emerging in the world of technology solutions for financial advisors!
246 
Midstream Marketing
NOVEMBER 6, 2024
Key Highlights Content marketing helps financial advisors 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.
Nerd's Eye View
MAY 2, 2023
Welcome back to the 331st episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jake Northrup. Jake is the Founder of Experience Your Wealth, an independent RIA based in Bristol, Rhode Island, that advises 78 client households with a 3-person team supporting more than $550,000 of ongoing revenue.
Nerd's Eye View
SEPTEMBER 26, 2023
Welcome back to the 352nd episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Bridget Venus Grimes. Read More.
Nerd's Eye View
SEPTEMBER 6, 2024
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 (..)
Nerd's Eye View
SEPTEMBER 23, 2022
While the new rule allows financial advisors to proactively use testimonials (from clients), endorsements (from non-clients), and highlight their own ratings on various third-party websites, the SEC’s warning suggests that advisory firms will want to take care to abide by the compliance requirements linked to the new rule.
Nerd's Eye View
JULY 18, 2023
Welcome back to the 342nd episode of the Financial Advisor Success Podcast ! Nancy is the Founder and CEO of Smarter Divorce Solutions, a consulting firm based in Phoenix, Arizona that provides financial expertise to individuals and couples (and sometimes, mediators and attorneys) going through the divorce process.
Nerd's Eye View
MARCH 13, 2023
However, the reality is that it’s very expensive to build and maintain technology, especially when considering the full range of CRM, portfolio management, financial planning, and more than a dozen other sub-categories of technology that financial advisors use in their firms.
245 
Indigo Marketing Agency
FEBRUARY 19, 2025
Of course, this is a scenario that leaves zero time to actually serve financial practice clients and manage their money! Thats why smart financial advisors outsource the business of marketing to a digital marketing agency. But thats still not good enough for financial planners, given the highly regulated industry.
Nerd's Eye View
JANUARY 1, 2024
Welcome to the January 2024 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 financial advisors!
Sara Grillo
APRIL 19, 2024
One of the biggest fears that people have, when they are looking for a financial advisor, is this: “Is it truly impossible for an advisor to say wire themselves a few million dollars from a client’s account?” I was recently featured in a MarketWatch article about how to find a good financial advisor.
Nerd's Eye View
FEBRUARY 2, 2024
Also in industry news this week: A recent study from advisor digital marketing firm Snappy Kraken suggests firms that invest in Search Engine Optimization (SEO), have a regular cadence of emails to their subscriber list, and include video content in these messages tend to get greater returns from their marketing efforts CFP Board has created a guide (..)
Indigo Marketing Agency
APRIL 28, 2023
Financial Advisor Bio Most financial advisors haven’t completely filled out their LinkedIn profiles. Writing a LinkedIn bio for financial advisors can be the most difficult type of writing, yet a great bio is critical when attracting prospects online. Do you simplify their financial picture?
Abnormal Returns
OCTOBER 23, 2023
(riabiz.com) AI Is AI an existential threat to the business of financial advice? 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 financial advisors to read.
159 
Sara Grillo
FEBRUARY 23, 2024
Question from a subscriber: “Compliance is impossible to get my content through. My financial advisor compliance department take forever and nitpick every little thing!” If you steer clear of the obvious violations, it’s actually pretty easy to get your content approved by your compliance officer.
52
Expert insights. Personalized for you.
We have resent the email to
Are you sure you want to cancel your subscriptions?
Let's personalize your content