XY Planning Network

DECEMBER 11, 2023

Unless your firm is registered with the SEC, your business is likely subject to the Beneficial Ownership Information (BOI) reporting requirements under the Corporate Transparency Act. This post dives into key details and what you need to know as we head towards 2024 to ensure you’re compliant.

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Investment Advisor Investments Investing Fee Only 107

Nerd's Eye View

JULY 8, 2024

In the meantime, if you (or anyone else you know) wants to join our Team of Nerds, stay tuned for more openings in 2024, including the Managing Editor role (available now!)

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Ethics Education Financial Advice Taxes 239

International College of Financial Planning

JUNE 14, 2023

Are you passionate about investments? If so, you can turn your passion into a profession by becoming a SEBI-registered investment advisor. SEBI has introduced guidelines for individuals aspiring to become investment advisors in India. Investment advice can be delivered online or offline channels.

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Investment Advisor Investments Investing Certification 52

Diamond Consultants

FEBRUARY 11, 2025

Semantics aside, what each provides is a level of support to help advisors run independent registered investment advisory (RIA) businesses. This is in contrast to advisors who opt for do it yourself independence, whereby every vendor decision and ongoing operations sit with the business owner.

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Brown Advisory

APRIL 20, 2022

Good Preparation Leads to a Good Audit Experience: What to Expect from Your Investment Advisor mhannan Wed, 04/20/2022 - 06:03 After an extended period of strong returns that began in 2009, many not-for-profit (NFP) organizations find themselves increasingly challenged to earn the traditional target of an inflation-adjusted 5% annual spending rate.

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Investment Advisor Investing Investments Nonprofit 52

XY Planning Network

JUNE 13, 2022

Outside investment managers—such as TAMPs and robo-advisors—are a popular solution for advisors seeking to offer clients expert asset management services without needing to hone that expertise themselves or simply spend the time doing it (as in financial planning-only firms). 5 MIN READ.

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Management Investments Investing Compliance 52

Inside Information

APRIL 28, 2022

I’m beginning to think the term ‘compliance’ ought to be repurposed. Maybe you see something different, but from where I sit, there is no actual encouragement from federal regulators to go beyond (somewhat grudging) compliance and embrace higher standards. Like fiduciary, for example. It’s awful–and more of the same.

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Compliance Fiduciary Duty Investment Advisor Financial Services 40

Midstream Marketing

JANUARY 19, 2025

One of the biggest challenges that most investment advisors face involves not just getting found online via search engines like Google, but getting found by the right audience at the right time – meaning a local one. A lot has changed even in the 40 years since the Investment Advisor’s Act was last amended.

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Advertising Marketing Marketing Investment Advisor 40

Trade Brains

NOVEMBER 4, 2024

They are responsible for managing the entire IPO process which includes pricing, marketing, and ensuring compliance with regulatory requirements. Written By – Santhosh S Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in

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Healthcare Clients Insurance Management 52

Trade Brains

OCTOBER 18, 2024

The Indian investment banking landscape is undergoing significant changes. A Brief History and Current State Investment banking in India traces its origins to the 19th century. Since then, foreign banks have dominated investment and merchant banking activities in the country. Also read… Large cap stock down by 5.6%

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Banking Economics Investments Investing 52

Midstream Marketing

NOVEMBER 26, 2024

Understand the importance of compliance in marketing for RIAs and explore best practices. Introduction In the fast-changing world of financial services, marketing to RIAs plays a significant role in helping Registered Investment Advisors (RIAs) succeed. When these advisors create clear plans, they can stand out more easily.

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Compliance Marketing Marketing Investment Advisor 52

Indigo Marketing Agency

SEPTEMBER 6, 2022

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, financial advisor, and investment advisor professionals. Our Testimonial Program helps our advisor clients get glowing client reviews online AND remain compliant.

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Marketing Marketing Financial Advisor Compliance 97

Ron A. Rhodes

MAY 5, 2023

In the design and management of investment portfolios, both brokers (under Reg BI) and investment advisors (as fiduciaries) possess a duty of due care. This includes undertaking sufficient due diligence…

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Investment Advisor Investments Investing Portfolio 46

Indigo Marketing Agency

AUGUST 2, 2021

The 3 types of reviews every advisor needs. Leila has 10+ years of experience providing legal and compliance guidance to the financial services industry. She also served as a chief compliance officer (CCO) and general counsel to several multibillion-dollar companies before starting her own RIA compliance firm.

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Compliance Marketing Marketing Financial Services 52

Sara Grillo

OCTOBER 21, 2022

RIA firm – a Registered Investment Advisor firm registered with either the SEC or state regulators. An RIA firm’s financial advisors must follow the fiduciary standard which is believed to be the highest standard of care in the industry. For advise on such matters, contact a legal or compliance advisor.

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Insurance Financial Planner Fee Only Financial Advisor 98

Diamond Consultants

AUGUST 9, 2022

In the RIA hybrid space, there are platform providers that offer several forms of financing, including upfront transition capital, minority investments and working capital loans. The notion of taking on the task of managing compliance, technology, HR, and finance is often what stops advisors from going independent.

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Compliance Recruitment Clients Retirement 59

Trade Brains

OCTOBER 29, 2024

The company focuses on delivering customized software solutions which include core banking systems and compliance tools. Written by – Santhosh S Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in Investing in equities poses a risk of financial losses.

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Banking Compliance Sales Financial Services 52

Trade Brains

NOVEMBER 5, 2024

Despite challenges such as raw material cost, regulatory compliance and competition they are well positioned through strategic adaptions through technology advancements. Written by Santhosh S Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in

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Engineering Manufacturing Compliance Investment Advisor 52

Trade Brains

OCTOBER 30, 2024

Furthermore, this achievement validates the company’s strategy of focusing on compliance-driven industries that require robust security solutions. As organisations continue to prioritise cybersecurity investments, Globesecure’s market position strengthens. Investing in equities poses a risk of financial losses.

Compliance 52

Compliance Commission Investment Advisor Consulting 52

Walkner Condon Financial Advisors

APRIL 17, 2023

Fee-based advisors are where it can get complicated. Some advisors are primarily paid directly by the client, but then also might receive some compensation from insurance policies they sell to their clients or other investment products they recommend, like a specific fund or annuity. How are we compensated?

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Walkner Condon Financial Advisors

APRIL 21, 2023

Fee-based advisors are where it can get complicated. Some advisors are primarily paid directly by the client, but then also might receive some compensation from insurance policies they sell to their clients or other investment products they recommend, like a specific fund or annuity.

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Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Trade Brains

OCTOBER 24, 2024

The company specializes in software for retail, corporate, and investment banking, along with consulting and outsourcing services. As a subsidiary of Oracle Corporation, it supports over 900 clients globally, enhancing their operational efficiency and compliance. Investing in equities poses a risk of financial losses.

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Financial Services Banking Consulting License 52

Harness Wealth

MAY 18, 2023

Like the partners of the major investment banks when they had their initial public offerings (IPOs) or were acquired, these events are great news for the senior partners of these firms given the liquidity events that they will experience. The large capital investments will also likely drive some investments in marketing and technology.

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Taxes Wealth Advisor Marketing Marketing 52

Trade Brains

OCTOBER 23, 2024

In compliance with insider trading regulations, the company has implemented a trading window closure from October 23 to November 17, 2024. Written By Fazal Ul Vahab Disclaimer The views and investment tips expressed by investment experts/broking houses/rating agencies on tradebrains.in

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B2B Manufacturing Distribution Compliance 52

The Big Picture

DECEMBER 6, 2022

BARRY RITHOLTZ, HOST, MASTERS IN BUSINESS: This week on the podcast I have an extra special guest, Luis Berruga has a fascinating career as both a tech wizard and investment banker before becoming CEO of Global X ETFs. I remember telling myself, why would anyone invest in mutual funds when you can buy an ETF instead?

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Clients Investing Investments Management 162

Sara Grillo

MARCH 22, 2024

Steven Kampschmidt Home Freedom Found Financial Andy Panko [link] Tenon Financial New Mexico Jose Sanchez [link] Flat fee financial planning for families living with and through Alzheimer’s New York State Laura Rotter www.trueabundanceadvisors.com I am an annual retainer, flat fee advisor.

Financial Planning 52

Financial Planning Fee Only Financial Planner Financial Advisor 52

The Big Picture

FEBRUARY 6, 2024

I love finding these people who are just absolute rock stars within their space that most of the investing public probably is not familiar with, haven’t heard about them. Tremendous track record, unusual background comes from computer science and software and, and pivoted into quantitative investing. Really fascinating guy.

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Valuation Investing Investments Assets 130

Midstream Marketing

MARCH 21, 2023

This could be a potential goldmine for scheduling consultations with quality prospects ready to talk to an advisor. Can independent registered investment advisors get into the Google Local Pack? The deadline for embracing the new SEC rules is this November, so I suggest all RIAs to start pivoting now.

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Financial Advisor Investment Advisor Consulting Advertising 52

Ballast Advisors

JUNE 18, 2024

It’s crucial to understand the tax laws of each jurisdiction to ensure compliance. This material is for informational purposes only and should not be considered investment advice. Ballast Advisors reserve the right to modify its current investment strategies and techniques based on changing market dynamics or client needs.

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Insurance Coverage Management Insurance Taxes 52

Ballast Advisors

JUNE 18, 2024

It’s crucial to understand the tax laws of each jurisdiction to ensure compliance. This material is for informational purposes only and should not be considered investment advice. Ballast Advisors reserve the right to modify its current investment strategies and techniques based on changing market dynamics or client needs.

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Insurance Coverage Insurance Taxes Financial Planning 52

Sara Grillo

MARCH 13, 2023

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. ETFS can be thought of as a wrapper around an investment strategy. Are we in a market regime shift?

Financial Advisor 59

Financial Advisor Assets Management License 59

Sara Grillo

JANUARY 9, 2023

What are the changes in Colorado investment advisor regulations regarding financial planning? What flat fee advisors represent is something new to the regulators and is clearly apart from what they have traditionally seen from the advisors in their jurisdictions who are charging AUM. Let’s get into it, folks! Disclosures.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

FMG

FEBRUARY 3, 2023

You can choose from options such as financial planner, financial consultant, and investment service to describe your work and multiple categories are allowed. Below, Obermeyer Wood Investment Counsel, LLP includes pictures of their team, building, and logo photos on their Google Business Profile.

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Financial Services Media Accounting Financial Advisor 52

Sara Grillo

DECEMBER 12, 2022

pay me for investments, for the easy work that I can outsource to a third party manager, and I’ll give you all this hard stuff for free…I don’t believe that., I also partner with E4 Insurance Services, a full-service brokerage agency to help noninsurance-oriented professionals (CFP’s, CFA’s, investment advisors, etc.)

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Brown Advisory

NOVEMBER 12, 2015

As 2015 comes to a close, we remind our clients and friends of how important it is take time to review new tax rules, consider tax-saving opportunities and review investment and asset-protection plans before year’s end. The Medicare tax on net investment income (the NII tax) imposes an additional 3.8% Thu, 11/12/2015 - 11:10.

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Planning Taxes Distribution Medical 52

Inside Information

OCTOBER 30, 2021

Knut has tirelessly pursued the betterment of investment advisory services provided to individual investors by emphasizing the importance of maintaining true fiduciary standards. Knut‘s influence on regulatory rulemaking and guidance over the past two decades has been vitally important to advancing the investment fiduciary cause.

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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. We also co-invested in an investment recently where we — RITHOLTZ: That’s right. HAMBURGER: — we participated in the same investment. Has that closed?

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