Nerd's Eye View

JUNE 5, 2024

If they want to continue to grow and increase their capacity, they'll need to make several important decisions and address a plethora of legal and compliance requirements not only to avoid potential legal issues but also to ensure that their business will continue to operate smoothly.

Compliance 189

Compliance Clients Consulting Accounting 189

Wealth Management

MAY 2, 2023

The company’s website, automation and text messaging platforms will now be connected in one unified system, with new pricing and a single compliance platform.

Compliance 277

Compliance Marketing Marketing 277

Nerd's Eye View

JANUARY 31, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that following the change of administration (and a new incoming chair of the SEC), the Investment Adviser Association is seeking to find ways to help RIAs (particularly smaller firms) manage the compliance responsibilities they (..)

Financial Planner 245

Financial Planner Retirement Planning Compliance Taxes 245

Nerd's Eye View

JUNE 17, 2024

Nonetheless, fewer than 10% of SEC-registered investment advisers report using them, even though the SEC’s updated investment adviser marketing rule allows financial advisors to proactively encourage testimonials (from clients), use endorsements (from non-clients), and highlight their own ratings on various third-party review sites.

Financial Advising 246

Financial Advising Compliance Advertising Marketing 246

Nerd's Eye View

FEBRUARY 1, 2023

In recent years, though, the growing use of lead-generation services, advisor networks, and ‘advisor-matching’ tools, referred to as “operators” in the Marketing Rule’s Adopting Release, has given rise to third-party solicitation activity that often looks more like advertising directly to prospective clients.

Advertising 242

Advertising Compliance Marketing Marketing 242

Nerd's Eye View

MARCH 14, 2025

Which, if implemented under the new administration, could provide relief for investment advisers, particularly smaller firms that already have to balance compliance with client service, marketing, and the other duties that go into running a firm.

Financial Planner 162

Financial Planner Compliance Commission Retirement 162

Nerd's Eye View

SEPTEMBER 13, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - 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.

Financial Planner 246

Financial Planner Compliance Fee Only Communication 246

Wealth Management

SEPTEMBER 19, 2022

4 compliance date. In a newly-released risk alert, the commission’s Department of Examinations highlighted potential areas of focus for the rule, which has a Nov.

Compliance 245

Compliance Marketing Marketing 245

Wealth Management

FEBRUARY 5, 2024

Some compliance experts took issue with a recent Michael Kitces podcast that appeared to endorse a marketing strategy that includes soliciting and reposting clients’ Google reviews.

Compliance 281

Compliance Clients Marketing Marketing 281

Advisor Perspectives

SEPTEMBER 10, 2024

How do you convey your value and convince qualified prospects that hiring you will be a worthwhile investment without breaching your compliance obligations as an advisor?

Compliance 98

Compliance Marketing Marketing Investments 98

Wealth Management

NOVEMBER 3, 2022

The commission’s rule update on advertising and marketing reaches its compliance date on Friday, and experts are warning firms to make sure they’re ready.

Advertising 264

Advertising Compliance Marketing Marketing 264

Abnormal Returns

JUNE 10, 2024

bloomberg.com) Daniel Crosby talks advisor marketing with Robert Sofia who is the CEO of Snappy Kraken. fa-mag.com) The latest in financial advisortech including the launch of compliance archiving startup Archive Intel. kitces.com) Practice management What you need to know compliance-wise before you hire your first advisory employee.

Compliance 275

Compliance Estate Planning Startup Clients 275

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. Entering an arrangement in order to manipulate the market or market prices.

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Abnormal Returns

NOVEMBER 7, 2022

Podcast Michael Kitces talks with Mindy Crary, owner of Creative Money, about making it clear about fiduciary marketing. wsj.com) Advisers are scrambling to get into compliance with new advertising rules. kitces.com) Daniel Crosby talks with Kurt Brown, CEO and CIO, of TownSquare Capital.

Compliance 276

Compliance Wealth Management Advertising Financial Advice 276

Wealth Management

DECEMBER 15, 2022

Former Entreda CEO Sid Yenamandra has co-founded a venture studio to drive data governance and compliance tech innovation and help startups in the field reach market more efficiently.

Startup 245

Startup Compliance Government Marketing 245

Midstream Marketing

NOVEMBER 26, 2024

Key Highlights Find out why marketing is important for RIAs in the current hard market. Learn smart ways to connect with RIAs, such as content marketing and digital strategies. Understand why following the rules is important in RIA marketing and read the best practices. Good marketing is important for growth.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

Carson Wealth

NOVEMBER 4, 2024

We will say this about the election — we could see some market volatility this week, although the extra days it took to determine the winner in 2020 actually saw market strength. Bottom line, investors have been quite spoiled with a historic year for markets and it is important to remember that stocks indeed can go down.

Marketing 95

Marketing Marketing Economy Numbers 95

Abnormal Returns

JULY 22, 2024

fastcompany.com) Advisers Off-channel communications surpassed marketing as the leading compliance concern for RIAs. (citywire.com) Retirement A Q&A with Wade Pfau about the challenges of spending in retirement. thinkadvisor.com) Why staggered retirements make a lot of sense.

Compliance 263

Compliance Retirement Communication Consulting 263

Nerd's Eye View

JULY 14, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that while the new social media app Threads, designed to compete with Twitter, has surpassed 100 million users in its first week alone, its potential utility for advisors remains unclear and has raised compliance concerns for advisors (..)

Financial Planner 246

Financial Planner Compliance Media Retirement 246

Nerd's Eye View

AUGUST 5, 2022

From there, we have several articles on advisor content marketing: How advisors can generate topic ideas for content to engage their target audience. Why campaigns that combine “sunk marketing” with “momentum marketing” can lead to greater results for advisors.

Financial Planner 246

Financial Planner Compliance Insurance Financial Advisor 246

Midstream Marketing

OCTOBER 30, 2024

RIAs need to update their marketing plans to stay ahead. A strong brand identity is key to getting and keeping clients in this tough market. RIAs must understand and follow SEC marketing rules to meet their ethical and legal needs. Understanding the Marketing Landscape for RIAs The world of financial advice is changing fast.

Investment Advisor 52

Investment Advisor Investments Investing Ethics 52

XY Planning Network

AUGUST 5, 2024

In today's digital age, marketing—especially digital marketing—is crucial to any business strategy. As marketing evolves, so do the regulations designed to prevent fraud and ensure fair practices. So, what does this mean for RIAs regarding their marketing efforts and staying compliant?

Compliance 101

Compliance Marketing Marketing Clients 101

Carson Wealth

MARCH 17, 2025

Understanding Market Corrections The S&P 500 moved into a correction on Thursday of last week, defined as a close at least 10% below the indexs recent closing high. Historically, the S&P 500 has come fully out of the correction about three times as often as it has entered a bear market. corrections per year since 1928.

Marketing 81

Marketing Marketing Economy Portfolio 81

The Big Picture

APRIL 22, 2023

 This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters.

Compliance 300

Compliance Wealth Management Consulting Management 300

Midstream Marketing

DECEMBER 26, 2024

Forefield Advisor Marketing is a powerful suite of tools for financial professionals, aimed at enhancing client engagement and driving business growth. This blog post will explore the importance of advisor marketing in todays evolving financial services industry, focusing on strategies for success.

Marketing 52

Marketing Marketing Communication Advertising 52

Carson Wealth

DECEMBER 2, 2024

Fortunately, all we have to do is look at the data to see they once again could be on the wrong end of this amazing bull market. The past few weeks we’ve discussed why we think this bull market is alive and well, but we also see no major reasons to expect the economy to fall into a recession in 2025. on average. on average.

Marketing 70

Marketing Marketing Economy Compliance 70

Indigo Marketing Agency

FEBRUARY 19, 2025

Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business In the mid-2000s, digital marketing was just one of many mediums local businesses were starting to utilize to growalong with newspaper ads, phone book ads, direct mail ads, radio and TV ads, billboards, door-to-door sales, and more.

Financial Services 59

Financial Services Financial Planner Advertising Financial Advisor 59

Nerd's Eye View

NOVEMBER 6, 2023

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: FinanceHQ has launched as a new digital lead generation platform for financial advisors, which takes a more niche-focused approach to matching prospective clients with advisors – representing a bet that capturing prospects (..)

Compliance 246

Compliance Valuation Financial Advisor Clients 246

Midstream Marketing

DECEMBER 6, 2024

Key Highlights Learn why having a clear marketing strategy is important for RIAs, especially in hard markets. Understand the key rules and best practices to keep your marketing activities aligned with industry standards. Find answers to common questions about RIA marketing to help you succeed.

Marketing 52

Marketing Marketing Media Engineering 52

Midstream Marketing

DECEMBER 7, 2024

Get better marketing ROI by using data insights and smooth automation processes. Introduction In todays world, financial advisors need good tools for marketing automation to do well. A strong chance for these advisors is the partnership between AdvisorStream , a leading digital marketing platform, and Broadridge Financial Solutions.

Compliance 52

Compliance Financial Advisor Clients Communication 52

Abnormal Returns

JUNE 26, 2023

wiredplanning.com) Daniel Crosby talks with advice non-compliance with Derek Hagen who is the founder of Money Health Solutions. wsj.com) The timing of the launch of EDX Markets was fortuitous. Podcasts Ashby Daniels talks about turning vague customer desires into clear goals. morningstar.com)

Wealth Management 246

Wealth Management Compliance Retirement Management 246

Nerd's Eye View

MARCH 6, 2023

Which at best will still be a substantial uphill battle, given the hassle of switching from one financial planning platform to another (and the fact that most advisors are generally satisfied with their current financial planning software in the first place!).

Compliance 246

Compliance Financial Planning Planning Clients 246

Nerd's Eye View

MARCH 17, 2025

This is largely because, for financial advisors, it's not 'just' about capturing notes from the client meeting itself, but also about managing everything that follows: recording meeting notes in the CRM for compliance purposes, assigning post-meeting tasks to the team, and sending the client a post-meeting recap email.

Financial Advisor 147

Financial Advisor Clients Financial Planning Professional Services 147

Carson Wealth

MARCH 3, 2025

We continue to think the bull market is alive and well and the economy is on solid footing, but that doesnt mean we wont have scary headlines or worries. Because the market is all about what is priced in and what isnt priced in. Due to volatility within the markets mentioned, opinions are subject to change without notice.

Marketing 73

Marketing Marketing Government Economy 73

Midstream Marketing

OCTOBER 31, 2024

Key Highlights In today’s online world, businesses in the financial services industry need financial marketing consultants to succeed. These experts know the challenges of marketing in financial services. Financial marketing consultants provide many services. Financial marketing consultants provide many services.

Consulting 52

Consulting Financial Market Marketing Marketing 52

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