Midstream Marketing

OCTOBER 30, 2024

RIAs must understand and follow SEC marketing rules to meet their ethical and legal needs. Because of this shift, Registered Investment Advisers (RIAs) have to find ways to stand out in a crowded and competitive market. Clients looking for investment advice have many options. They need to know their target audience.

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The Big Picture

DECEMBER 27, 2022

In addition to that CV, Ellis is is the author of 19 books, including the investment classic Winning the Loser’s Game. His most recent book is Inside Vanguard: Leadership Secrets From the Company That Continues to Rewrite the Rules of the Investing Business. All of our earlier podcasts on your favorite pod hosts can be found here.

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Nerd's Eye View

JULY 19, 2023

Continuing Education (CE) requirements are common for many professions, but historically there has been no minimum CE requirement for individual Investment Adviser Representatives (IARs) of advisory firms. While holders of certain credentials (e.g., Read More.

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The Big Picture

MARCH 10, 2025

David Nadig, “ Rabbithole ” March 7, 2025 I had fun chatting with Dave Nadig about philosophy, behavior, and investing ( video after the jump). Question : “ Barry, your book How Not to Invest dissects numerous financial misconceptions. But let’s set aside markets and investing strategies entirely.

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Abnormal Returns

APRIL 5, 2023

rationalreminder.libsyn.com) Investing The stock market is in a drawdown more often than not. timdenning.substack.com) Why you should have a Life Ethic not a Work Ethic. Podcasts Morgan Housel talks about why our brains covet the pursuit of new stuff. radreads.co)

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Nerd's Eye View

JANUARY 13, 2025

and we're aiming to offer CE for Accredited Investment Fiduciary (AIF) designees by the second half of the year! We're also bringing back our popular IAR Ethics CE Day; save the date for Thursday, August 28th, to get all 6 hours of IAR Ethics CE (and cross-qualify the 6 hours for every other type of CE, too!)

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Clever Girl Finance

JANUARY 10, 2025

They represent your “why” when it comes to financial decisions why you save, spend, invest, or give the way you do. Your money values influence the decisions you make about budgeting, saving, investing, and even giving. Aligning ethics with actions brings consistency to your money habits.

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Abnormal Returns

FEBRUARY 26, 2023

abnormalreturns.com) The 2023 Credit Suisse Global Investment Returns Yearbook is here! mailchi.mp) On the ethics of holding down two full-time jobs. (wsj.com) Earlier on Abnormal Returns Top clicks last week on the site. abnormalreturns.com) What you missed in our Saturday linkfest. abnormalreturns.com) Do less to do better.

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The Big Picture

MAY 21, 2023

“The bankruptcy wipes out private equity firm KKR’s investment in Envision. New York Times ) • Justice Thomas Ethics Review Questioned by US Court Leader in 2012 : Thomas faced complaints in 2011 over reporting wife’s income Judiciary leadership member objected to lack of information. billion including debt.

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Nerd's Eye View

OCTOBER 3, 2022

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: Ethic Investing raises a $50M Series C round as values-based “personalized indexing” through direct indexing tools continues to gain momentum.

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Nerd's Eye View

MAY 31, 2024

House of Representatives and is now being considered in the Senate would increase the number of firms classified as “small entities” and would require the SEC to assess the impact of proposed regulation on this newly enlarged class of investment advisers (which tend to have fewer compliance staff and resources available compared to larger (..)

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Nerd's Eye View

APRIL 25, 2023

In this episode, we talk in-depth about why Ari and his partner implemented a minimum fee for new clients as the business grew, raised the minimum as high as $15,000 during the pandemic, and have since cut their minimum fee back down to $6,000 even as the firm has added more advisors and overhead, how Ari and his partner got comfortable positioning (..)

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Aleph

DECEMBER 14, 2022

I am grateful that I earned my CFA credential in 1996, which enabled me to transition from being a life actuary, to being an investment actuary, to being a a financial analyst with actuarial skills. The title of the talk was “The Value of Ethics –The Value of a CFA Charter.” That’s why they were so easy for me.

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Dear Mr. Market

NOVEMBER 28, 2023

Dear Mr. Market: In the world of finance and investing, the passing of a visionary figure leaves an indelible mark on the landscape they helped shape. ” These Charlie Munger quotes emphasize continuous learning, patience, humility, and the importance of ethical behavior in both personal and professional life.

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NAIFA Advisor Today

JUNE 29, 2023

Additional Examples from Our Code of Ethics to Support Our Clients An event that clearly supports the NAIFA commitment to diversity, equity, and inclusion occurs annually and was held in May at the J.W. Marriott, 1331 Pennsylvania Avenue NW in Washington, D.C.

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Cornerstone Financial Advisory

MARCH 14, 2025

Ethical Investments: Make investment choices that align with Christian values. Ethical Investments: Align investments with Christian values. We offer investment options and estate plans that are consistent with Christian principles. Generosity: Pass along wisdom before passing along wealth.

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Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices ajackson Thu, 04/22/2021 - 11:37 Right now, as you read this, there are computers and network servers all over the world pondering one topic: you. Too often, developers and users are putting AI products and services into the market before anyone starts asking ethical questions.

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Brown Advisory

APRIL 22, 2021

Corporate Engagement Spotlight: Ethical AI Practices. As with all of our investments, we seek to combine fundamental, ESG and investigative research to create a complete understanding of our holdings—the return opportunities they offer us, as well as the risks that may cause them to stumble. Thu, 04/22/2021 - 11:37.

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Sara Grillo

APRIL 21, 2022

So here’s a blog about some things that ethical financial advisors do in the hopes they will serve as an example of right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. The following case studies serve as examples of ethical actions taken by financial advisors.

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Nerd's Eye View

DECEMBER 19, 2022

This summer, the Financial Planning Association (FPA) announced a new multi-year advocacy goal to pursue legal recognition for the title of "Financial Planner", as a means for bona fide financial planners to distinguish themselves and their services from others (who may use the title but don't actually do financial planning), to help consumers understand (..)

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Envision Wealth Planning

MAY 23, 2022

Ethical financial advisors are on the rise and are now doing things within their businesses with the hope to serve as an example of the right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. You’ll have to do your own research to determine if these advisors really are ethical.

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Brown Advisory

JUNE 23, 2016

NOW 2016 | Autonomous Systems: Ethics at the Edge of Technology achen Thu, 06/23/2016 - 10:27 The limits to what humans can create seem bound only by the limits of human imagination. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Defense Department.

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Brown Advisory

JUNE 23, 2016

NOW 2016 | Autonomous Systems: Ethics at the Edge of Technology. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Such progress, while exciting, can provoke anxiety and pose ethical challenges. Will our behavior and ethics change as we mobilize machines on military missions?

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Dear Mr. Market

MARCH 11, 2023

We’re proud to say that My Portfolio Guide, LLC was the first investment firm to publish a March Madness investing bracket where we share our picks and match them up against each other. For example, a #1 seeded investment could lose right out of the gate just as a #12 could potentially win it all.

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International College of Financial Planning

MAY 30, 2023

The finance industry is known for its complexity and competitiveness,where ethics play a pivotal role in determining arofessional’s success and credibility. As a finance student, understanding and practicing ethical behavior is crucial for building a responsible and reputable career. Impact of Ethics on Finance and the Economy.

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The Big Picture

OCTOBER 19, 2022

. • London’s Natural History Museum: Wildlife Photographer of the Year Competition Winners : The museum said in a release that an international panel of experts had selected the 19 finalists out of more than 38,000 entries from nearly 100 countries, based on their “originality, narrative, technical excellence and ethical practice.”

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Carson Wealth

JULY 12, 2022

By Craig Lemoine, Director of Consumer Investment Research . So much of our world is filled with abbreviations surrounding insurance and investment products, processes, education and accomplishments. . Degrees do not require continuing education and rarely any ongoing ethical commitment.

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Advisor Perspectives

APRIL 10, 2023

Sustainable investing continues to gain in popularity, with investors worldwide frequently attracted not only by ethical concerns but also by the lure of superior returns. Unfortunately, new research focused on global stocks showed that they did not get what they were sold.

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Tobias Financial

DECEMBER 22, 2023

In the ever-evolving world of finance, understanding the intricate differences between broker/dealers (BDs) and independent Registered Investment Advisors (RIAs) is paramount for consumers seeking trusted financial guidance.

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Tobias Financial

DECEMBER 19, 2023

In the ever-evolving world of finance, understanding the intricate differences between broker/dealers (BDs) and independent Registered Investment Advisors (RIAs) is paramount for consumers seeking trusted financial guidance.

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The Big Picture

OCTOBER 12, 2023

Chief Investment Officer ) • How a Social Network Fails : Elon Musk and Linda Yaccarino are making the same mistake that has tanked other social networks. ( Why anyone would lend credence to economic projections that get revised on average nearly every other month is a mystery. ( Mounting research suggests that cephalopods experience pain.

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Nerd's Eye View

FEBRUARY 13, 2024

What's unique about Melody, though, is how after her first decade in practice, she quadrupled her revenue in the subsequent 2 years by restructuring her business model from standalone hourly engagements and project planning fees to a more holistic wealth management offering that combined investment management and financial planning for a single AUM (..)

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Indigo Marketing Agency

JANUARY 11, 2021

We are thrilled to have a new article published in the December 2020 issue of the Investments & Wealth Monitor , a bimonthly educational magazine for financial professionals published by Investments & Wealth Institute. The post We’ve Been Featured In The Investments & Wealth Monitor! Need Help Growing Your Business?

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Brown Advisory

SEPTEMBER 13, 2021

Global Leaders Investment Letter: September 2021. We investigated some thoughts on intangible assets and invested capital in our last letter and subsequently we have been discussing the reinvestment rate and long-term growth of some of our investments. Mon, 09/13/2021 - 15:33. Just want the PDF? Download it here >.

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Validea

AUGUST 2, 2023

Using this story as inspiration, I thought it would be worth looking at the basics in investing and personal finance to see what investors can learn from the mindset and work ethic of one of the greatest basketball players ever. Patiently allowing investments to grow over the long haul can lead to significant wealth accumulation.

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Steve Sanduski

OCTOBER 24, 2023

Guest: Andrew Brzezinski , PhD, CFA, Head of Data Strategy, Business Intelligence and Advanced Analytics at Fidelity Investments. On today’s show, Andrew Brzezinski and I discuss generative AI, overcoming the barriers to adopting AI, key risks and ethical considerations, and the future outlook for using AI in an advisory practice.

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James Hendries

NOVEMBER 19, 2022

After all, who is more likely to have confidence in your ability to succeed and in your ability to turn a profit on their investment than the people closest to you? Therefore, when presenting an investment opportunity to a person close to you, protect his or her interests by being honest about the risk that the money invested could be lost.

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