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 (..)

Financial Planner 246

Financial Planner Healthcare Retirement Financial Advisor 246

Nerd's Eye View

NOVEMBER 11, 2022

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that as enforcement of the SEC’s new marketing rule began on November 4, advisory firms are taking a variety of approaches. Also in industry news this week: Why “SECURE 2.0”

Financial Planner 244

Financial Planner Retirement Planning Compliance Clients 244

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 (..)

Financial Planner 246

Financial Planner Tax Planning Compliance Financial Advice 246

Nerd's Eye View

MAY 31, 2024

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Financial Planning Association and Money.com are planning to publish a “Best Financial Advisors” list based on advisors’ education, credentials, and experience, as well as harder-to-quantify (..)

Financial Planner 238

Financial Planner Ethics Financial Advisor Taxes 238

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.

Financial Planner 246

Financial Planner Compensation Planning Compliance Insurance 246

Nerd's Eye View

FEBRUARY 17, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC is proposing to expand the adviser custody rule beyond securities and funds to cover all assets in a client’s portfolio, including private securities, real estate, derivatives, and cryptoassets.

Financial Planner 246

Financial Planner Fiduciary Duty Retirement Planning Compliance 246

Nerd's Eye View

JANUARY 26, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news of a survey indicating that about 90% of financial advisors would switch firms based on bad technology at their current firm, and that 44% have already done so.

Financial Planner 246

Financial Planner Retirement Planning Financial Advisor Retirement 246

Nerd's Eye View

JANUARY 13, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Federal Trade Commission has proposed a nationwide ban on noncompete clauses in employee contracts, aiming to give employees more freedom to change jobs within the same industry.

Financial Planner 241

Financial Planner Retirement Planning Retirement Compliance 241

Nerd's Eye View

FEBRUARY 2, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a Morningstar survey has found that financial advisory clients are more likely to stick with their advisor for emotional reasons rather than investment returns alone.

Financial Planner 246

Financial Planner Compliance CFP Clients 246

Nerd's Eye View

AUGUST 4, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that credit ratings agency Fitch on Tuesday downgraded its assessment of the U.S. government's creditworthiness from an AAA rating to AA+.

Financial Planner 246

Financial Planner Retirement Planning Compliance Retirement 246

Nerd's Eye View

JUNE 28, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a recent study found that at a time when the number of SEC-registered broker-dealers and their registered representatives is declining, the number of SEC-registered RIAs, their assets under management, and the number of (..)

Financial Planner 189

Financial Planner Clients Numbers Compliance 189

Abnormal Returns

OCTOBER 16, 2023

(riaintel.com) How many United Capital advisers will remain at Creative Planning when all is said and done? riabiz.com) Compliance Compliance is one of the biggest concerns of advisers. thinkadvisor.com) AI tools are coming for the compliance function.

Compliance 262

Compliance Financial Planner Financial Advice Investment Advisor 262

Abnormal Returns

DECEMBER 26, 2022

Podcasts Michael Kitces talks setting boundaries with Emily Rassam who is the Senior Financial Planner for Archer Investment Management. morningstar.com) Ryan Detrick and Sonu Varghese talk with Phil Pearlman about the connection between health and wealth planning. riaintel.com) The case for pre-hiring in anticipation of growth.

Risk Tolerance 241

Risk Tolerance Financial Planner Financial Advising Compliance 241

Nerd's Eye View

JULY 18, 2023

In this episode, we talk in-depth about how Nancy overcame her initial imposter syndrome and went from finding attorneys to be threatening to realizing that they are just regular people and do not necessarily know a lot about finance by recognizing how important her own life experiences were, how Nancy also did expand her technical expertise by earning (..)

Financial Planning 230

Financial Planning Planning Financial Advisor Financial Planner 230

Indigo Marketing Agency

FEBRUARY 19, 2025

Back in the day, financial planners 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 financial planners, given the highly regulated industry.

Financial Services 59

Financial Services Financial Planner Advertising Financial Advisor 59

MainStreet Financial Planning

JULY 11, 2024

As a parent and financial planner, ensuring that we make the smartest financial decisions for our families is crucial. In this article, we will explore three popular savings and investment options: 529 Plans, Roth IRAs, and Real Estate.

Planning 92

Planning Risk Tolerance Education Investments 92

AdvisorPR

SEPTEMBER 28, 2023

Comprehensive, current, and actionable program trains members to engage with the media and use FPA MediaSource, the automated media query platform connecting financial planners and journalists. Considerations for getting ready to work with the media, including recommended material to develop and compliance protocols.

Financial Planner 52

Financial Planner Media Certified Financial Planner CFP 52

Sara Grillo

OCTOBER 21, 2022

I am an irreverent and fun marketing consultant for financial advisors. Before we get started, I wanted to give hanks to Jonathan Grannick of Wonder Wealth , as well as other financial planners for their input. He cold called over 500 financial planning companies over a year or so to get to a full book of clients.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Sara Grillo

MAY 23, 2022

What’s up with these “advice-only financial planners?” I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. What is an advice-only financial planner? The benefits of advice-only financial planners.

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

WiserAdvisor

MARCH 13, 2024

Achieving financial freedom in retirement requires meticulous planning, dedicated effort, and strategic management. Without a solid plan, you risk drifting without direction. When aiming for financial independence, the importance of a structured approach should be emphasized. It also minimizes errors and oversights.

Retirement Planning 105

Retirement Planning Retirement Planning Estate Planning 105

Midstream Marketing

DECEMBER 6, 2024

This focused approach is key for a successful digital marketing plan. Running focused social media campaigns that highlight their services and share their skills in areas like tax planning or retirement planning. Creating case studies that show how they have helped current clients reach their financial goals.

Marketing 52

Marketing Marketing Media Engineering 52

Carson Wealth

JULY 12, 2022

We speak a secret language in financial planning. Translating from the secret language of financial planning, the sentence would read “Tammy specializes in insurance. Registration Standards for Financial Advisors. The first step in the competency stairway is regulatory compliance. . Conferred Degrees.

Financial Advising 98

Financial Advising Financial Planning Ethics Financial Services 98

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.

Financial Advisor 111

Financial Advisor Compliance Clients Marketing 111

Inside Information

DECEMBER 1, 2024

I think my cats have more judgment about the investment markets and planning strategies than any of the algorithms I’ve looked at, and we are perhaps 50 years away (if not more) from AI-driven human empathy or wisdom. And this is AFTER you spend the better part of an hour on detailed prompt engineering.

Engineering 40

Engineering Financial Planner Compliance Clients 40

Sara Grillo

JANUARY 9, 2023

As the move to transparency in financial planning takes hold, regulations are changing in Colorado and other states. Here’s the triumph of virtue that financial planning transparency will (FINALLY) bring to planners across the country and the benefits to clients that come along with it.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Midstream Marketing

DECEMBER 10, 2024

These campaigns help build a strong marketing plan for financial advisors. By adding these campaigns to your plan, you can connect with more clients and increase the number of clients you onboard, growing your business over time. Do you specialize in retirement planning for small business owners?

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 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

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

Walkner Condon Financial Advisors

APRIL 21, 2023

This fee covers not only investment management, but also financial planning. We do not charge a separate fee for financial planning services. What is a Certified Financial Planner (CFP) ? It is one of the most recognized and respected financial planning certifications in the industry.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Good Financial Cents

DECEMBER 14, 2022

As a financial executive, the chief financial officer (CFO) is responsible for the financial health of an organization. The CFO role is multi-faceted and includes everything from financial planning and analysis to business budgeting, financial decision-making, and risk management. Chief Compliance Officer.

Budgeting 88

Budgeting Compliance Accounting Insurance 88

Harness Wealth

SEPTEMBER 18, 2024

Only 26% of Americans have an estate plan. If you’re thinking, “But my clients are high-net-worth…many more have an estate plan.” These numbers show an opportunity for tax practices to build deeper, meaningful relationships with their clients, helping them to navigate some of life’s most challenging financial decisions.

Taxes 52

Taxes Clients Planning Estate Planning 52

Walkner Condon Financial Advisors

APRIL 17, 2023

This fee covers not only investment management, but also financial planning. We do not charge a separate fee for financial planning services. What is a Certified Financial Planner (CFP)? It is one of the most recognized and respected financial planning certifications in the industry.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

Sara Grillo

MARCH 22, 2024

Alabama Chad Holmes [link] Flat-fee comprehensive financial planner helping baby boomers and their parents proactively minimize taxes between the two generations. Arkansas Jacob George [link] Flat-fee financial planning for Christian families wanting to make an eternal impact!

Financial Planning 52

Financial Planning Fee Only Financial Planner Financial Advisor 52

Sara Grillo

JULY 8, 2022

Others that require a more detailed response will either get forwarded to a teammate (financial planner or portfolio manager) who can research the answer, or scheduled to my calendar later in the day when I can focus on a response or call the client directly. Most emails only require a quick reply, which I’ll take care of right away.

Financial Advisor 59

Financial Advisor Financial Planner Clients Financial Planning 59

International College of Financial Planning

MARCH 31, 2023

About Integrated Diploma in Wealth Management Program The Integrated Diploma in Wealth Management is designed to provide students with a broad understanding of wealth management, financial planning, investment management, and risk management.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

Carson Wealth

NOVEMBER 3, 2022

That’s when conducting thoughtful tax planning can be vital to lessen the blow, and a philanthropic donation can be a key part of that. However, note that tax laws and income brackets can change frequently so double-checking you’re in compliance is always wise.

Taxes 98

Taxes Distribution Accounting Nonprofit 98

Park Place Financial

JULY 6, 2022

RETIREMENT PLANNING The Impact of Public Retirement in Texas Schedule a Complimentary Financial Review CLICK HERE TO SCHEDULE. Two laws in particular— Senate Bill 321 and House Bill 3898 —have significant implications for Texas citizens with public retirement plans. Statewide systems plans. What Is Texas HB 3898?

Retirement 52

Retirement Retirement Planning Certified Financial Planner Ethics 52