Diamond Consultants

DECEMBER 19, 2023

Setting the record straight on the most common misconceptions that can block financial advisors from achieving their best business lives. Yet it’s particularly true when the stakes are extremely high, as they are in advisor transitions: There’s too much to lose by getting it wrong. There is nothing new and exciting out there.”

Recruitment 52

Recruitment Wealth Management Compliance Clients 52

Diamond Consultants

MAY 27, 2022

For those advisors who’ve left the firm, it often comes down to some version of the following: The unique, fraternal feel that drew so many to the firm in years past is now gone, having been replaced by heavy-handed management, onerous compliance protocols, inflexibility around outside business activities, and disputes over book ownership.

Recruitment 52

Recruitment Clients Compliance Wealth Management 52

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 92

Clients Assets Management Recruitment 92

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

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

The Big Picture

SEPTEMBER 10, 2024

I mean, you know, my mom was a financial advisor in the early eighties. You know, when you, and then we recruit, you know, we talk to people, young people always say, you probably haven’t even ever had a B on your report card. You have to get compliance. , MBA from Kellogg at Northwestern. Is low, right?

Valuation 162

Valuation Clients Investments Investing 162

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

The Big Picture

JULY 29, 2024

00:08:01 [Speaker Changed] And then from AssetMark, in October, 2023, you’re recruited to become CEO at Orion. And so Orion now has a wealth business and a tech business that work together to help financial advisors save time and effort and spend more time with their clients. That’s right.

Clients 147

Clients Portfolio Financial Advisor Investing 147