The Big Picture

APRIL 6, 2023

We have regulatory and compliance obligations around what we say and do in public, and we do our very best to make sure that what we put out is accurate. Our core portfolios are built from mutual funds and ETFs – we are not individual stock pickers. We own individual stocks that are in our portfolio mutual funds.

Wealth Management 278

Wealth Management Portfolio Management Clients Portfolio 278

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. broker-dealers, RIA aggregators, TAMPs, etc.)

Compliance 245

Compliance Portfolio Management Planning Financial Advisor 245

Nerd's Eye View

JULY 26, 2024

Also in industry news this week: While the number of RIA M&A deals has not surged in 2024, the average size of deals has increased, demonstrating interest from (often private-equity-backed) firms in pursuing larger targets Off-channel communication tops the list of concerns amongst RIA compliance professionals, with advertising and marketing coming (..)

Financial Planner 246

Financial Planner Retirement Communication Financial Advisor 246

Truemind Capital

FEBRUARY 16, 2024

We being a SEBI-regulated entity very well understand the importance of regulatory compliance. There is no denying that following the compliances is time-consuming, expensive, and hinders growth. Even we at Truemind crib sometimes that how much time and costs we have to spend on compliance.

Compliance 59

Compliance Financial Services Valuation Economics 59

Nerd's Eye View

AUGUST 4, 2023

While the downgrade has made headlines and might be startling to advisory clients (particularly those with significant portfolio allocations to 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

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

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

JUNE 21, 2023

In addition to collecting the required reports, the firm’s Chief Compliance Officer (CCO) also has certain review requirements.

Ethics 244

Ethics Fiduciary Duty Compliance Clients 244

Trade Brains

SEPTEMBER 22, 2023

Fungicides, herbicides, insecticides, plant growth regulators, rodenticides, and speciality crop chemicals are all included in the company’s crop protection portfolio. In terms of employment services, it offers permanent recruitment services, temporary staffing options, and regulatory consulting for labour law compliance.

Portfolio Analysis 116

Portfolio Analysis Portfolio Healthcare Banking 116

Nerd's Eye View

JUNE 28, 2024

Also in industry news this week: How the SEC could target dually registered firms for enforcement of their duties to care for and manage conflicts of interest under Regulation Best Interest and the Investment Advisers Act to send a message to the industry and to clarify its expectations for these "dual-hatted" firms and their advisors Why a shift in (..)

Financial Planner 189

Financial Planner Clients Compliance Numbers 189

The Big Picture

AUGUST 26, 2022

Say what you will about Cathy Woods and ARKK, but a concentrated portfolio like hers makes more sense as a satellite to Vanguard’s Total Stock Market Index ETF (VTI) or the S&P 500 (SPY) versus this unholy mess of high-cost high turnover SMA.

Accounting 353

Accounting Government Assets Management 353

Carson Wealth

JANUARY 28, 2025

The Role of Nonprofit Compliance in Risk Management Its important to know how the companies youre supporting manage their own risks, and compliance with all relevant laws and regulations plays a large part in this. Like portfolio management, there is a spectrum of risk appetite, and you need to consider where you are comfortable.

Risk Management 52

Risk Management Management Nonprofit Compliance 52

Nerd's Eye View

MAY 2, 2023

We also talk about why despite being a CFA charterholder Jake outsources investment management to First Ascent – for which clients pay an entirely separate additional fee – because it both allows him to simplify compliance to not manage investments in-house, and takes away the cost pressure of having to hire a separate employee to just (..)

Financial Advisor 246

Financial Advisor Financial Planning Clients Planning 246

Nerd's Eye View

DECEMBER 7, 2022

The Marketing Rule also requires performance results to be presented consistently over 1-, 5-, and 10-year time periods (or the time period the portfolio has existed, if shorter than a particular prescribed period) preventing advisers from cherry-picking time periods that would make their returns appear more favorable.

Advertising 246

Advertising Investments Investing Marketing 246

Random Roger's Retirement Planning

NOVEMBER 21, 2023

First up was a webinar about model portfolios at ETF.com. I outsource compliance (have to), technology stuff (pretty sure I have to) and we brought our support person with us to help with things like RMDs, money movement and other administrative work. A few interesting things from here and there on the interwebs. That is probably true.

Portfolio 75

Portfolio Asset Allocation Math Management 75

Brown Advisory

APRIL 13, 2022

Expats: Tax Compliance mhannan Wed, 04/13/2022 - 06:37 We help U.S.-connected Topics we plan to cover in this series are: Tax Compliance Problematic assets Trusts Roles and responsibilities Transatlantic marriages U.S./U.K. tax net In this post, we tackle tax compliance. Pitfalls for U.S. connected clients living in the U.K.

Compliance 52

Compliance Taxes Accounting Investment Planning 52

Carson Wealth

MARCH 17, 2025

Well, the word of the day in 2025 is diversify, as portfolios that have been diversified have held up quite well. A diversified portfolio does not assure a profit or protect against loss in a declining market. Could we really have three bear markets in only half a decade? It is possible, but unlikely. What Should You Do?

Marketing 83

Marketing Marketing Economy Portfolio 83

Midstream Marketing

OCTOBER 30, 2024

Compliance and Ethics in RIA Marketing RIAs manage their clients’ money. Having good compliance policies and procedures is very important. The compliance date for the new marketing rule gives RIAs enough time to change their practices and make any needed updates. How Does One Ensure Compliance with SEC Marketing Rules?

Investment Advisor 52

Investment Advisor Investments Investing Ethics 52

Diamond Consultants

FEBRUARY 11, 2025

This approach removes compliance responsibility from the advisors plate and offloads most middle- and back-office functions, including billing and technology. For example, since the RIA owns compliance, they have the final say over whether to approve a new alternative investment offering.

Compliance 52

Compliance Clients Management Investing 52

Abnormal Returns

MAY 22, 2023

advisorperspectives.com) Direct indexing involves two parts: index construction and portfolio management. kitces.com) Compliance costs are only going to grow, whether internal or outsourced. wealthmanagement.com) Going solo Three questions to ask before launching a new advisory practice.

Financial Advising 130

Financial Advising Estate Planning Wealth Management Compliance 130

Million Dollar Round Table (MDRT)

OCTOBER 17, 2023

It might be new courses I want to take, compliance seminars and so forth. I look at my investment properties and portfolios as well as my other business interests. I look at any career development I want to do for the upcoming year. Also, what do I need to do to get my staff upskilled? How’s my revenue?

Compliance 117

Compliance Portfolio Planning Investments 117

Harness Wealth

MARCH 27, 2025

Secondary transactions (or Secondaries as theyre known) involve the buying and selling of pre-existing investments in private funds or stakes in the portfolio companies those funds own. Other reasons involve changes in investment strategy, portfolio rebalancing, or a simple desire to exit a specific asset class.

Taxes 52

Taxes Tax Planning Assets Compliance 52

Validea

SEPTEMBER 14, 2023

In this episode of Show Us Your Portfolio, we speak with Damped Spring Advisors founder Andy Constan. We discuss how he combines a risk parity approach with alpha seeking strategies to maximize long-term returns and minimize risk.

Portfolio 52

Portfolio Compliance Assets Retirement 52

Carson Wealth

DECEMBER 2, 2024

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02531673_120224_C The post Market Commentary: ‘Tis the Season — Five Things to Know About Markets in December appeared first on Carson Wealth.

Marketing 73

Marketing Marketing Economy Compliance 73

Harness Wealth

JANUARY 29, 2025

This type of strategy typically involves selling underperforming investments at a loss to offset capital gains (or ordinary income) to optimize portfolio returns. Portfolio rebalancing: Selling underperforming assets helps investors maintain an optimal asset allocation. Is tax-loss harvesting right for you?

Taxes 52

Taxes Assets Sales Portfolio 52

The Big Picture

MAY 9, 2023

But what was interesting about that was the quick need to both separate the portfolio between the old stuff and the new stuff, because there were a lot of new investment opportunities. So we have our MAS team, our Multi-Asset Solutions team, who are really providing more of the overall portfolio advice. Capital rules were changing.

Assets 299

Assets Clients Investments Investing 299

Nerd's Eye View

JUNE 12, 2024

Otherwise, if the advisor doesn't account for the client's stated risk tolerance when making the recommendation (or doesn't bother to assess their risk tolerance to begin with), and the portfolio declines with the client incurring losses as a result, the advisor could be required by a jury or arbitrator to pay back the client for those losses.

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investments Investing 245

Brown Advisory

SEPTEMBER 12, 2016

From our CEO: How We Help Clients Build Sustainable Portfolios achen Mon, 09/12/2016 - 08:16 Last year, we published our first special edition of The Advisory focused on sustainable investing. We begin with advice— an in-depth engagement and discovery process to learn exactly how you view the intersection of your values with your portfolio.

Portfolio 52

Portfolio Clients Investing Investments 52

Brown Advisory

SEPTEMBER 12, 2016

From our CEO: How We Help Clients Build Sustainable Portfolios. We begin with advice— an in-depth engagement and discovery process to learn exactly how you view the intersection of your values with your portfolio. The goals you express during our discovery process dictate the types of solutions used in your portfolio.

Portfolio 52

Portfolio Clients Investing Investments 52

BlueMind

SEPTEMBER 3, 2022

Asking relevant questions will help you determine how willing or averse they are to taking risks, you can guide them to select the best risk directive or model portfolio to achieve their goals. Related: Compliance and Automation – An Ideal Unison! What Does The Word “Risk” Mean For Your Clients?

Risk Tolerance 105

Risk Tolerance Clients Portfolio Financial Advisor 105

Carson Wealth

NOVEMBER 4, 2024

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02490965_110424_C The post Market Commentary: Seasonal Tailwinds Ahead, but First an Election appeared first on Carson Wealth.

Marketing 96

Marketing Marketing Economy Numbers 96

Carson Wealth

JANUARY 13, 2025

There are a lot of opportunities to diversify portfolios so they arent as concentrated as the S&P 500. A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 7521978.1._011325_C

Marketing 73

Marketing Marketing Economy Compliance 73

Carson Wealth

JULY 3, 2024

Proper tax planning can save your business money and ensure compliance with regulations. There are investment solutions that help minimize the tax implication while aligning with portfolio goals. Get Help with Tax Planning Tax planning is a critical component of financial management. All taxpayers are required to meet Tax Safe Harbor.

Financial Planning 142

Financial Planning Planning Retirement Planning Tax Planning 142

Inside Information

JANUARY 31, 2025

Depending on a firms tech strategy, she wrote, advisors may have to log in to the CRM, custodian, portfolio accounting, planning software, tax planning software, estate planning software, social security maximizer software, etc.,

Risk Tolerance 40

Risk Tolerance Consulting Estate Planning Wealth Advisor 40

Carson Wealth

MARCH 10, 2025

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 7722155.1_031025_C The post Market Commentary: Tariffs Have Increased Market Uncertainty, but Job Growth Remains Solid appeared first on Carson Wealth.

Marketing 78

Marketing Marketing Economy Government 78

Carson Wealth

DECEMBER 11, 2023

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02018534_121123_C The post Market Commentary: Things You Don’t See in a Recession appeared first on Carson Wealth.

Marketing 143

Marketing Marketing Economy Compliance 143

Carson Wealth

DECEMBER 9, 2024

A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02542778_120924_C The post Market Commentary: Stocks Hit New Highs Amid a Year of Milestones appeared first on Carson Wealth.

Marketing 67

Marketing Marketing Economy Manufacturing 67