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Wealth Management
DECEMBER 3, 2024
Beyond screening for suitable stocks and ETFs, the platform also helps a growing community of religious-minded investors "purify" interest-generated investment returns by calculating charitable offsets.
263 
Nerd's Eye View
JUNE 21, 2023
All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.
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Book of Secrets on the Month-End Close
What Your Financial Statements Are Telling You—And How to Listen!
Are Robots Replacing You? Keeping Humans in the Loop in Automated Environments
Data Talks, CFOs Listen: Why Analytics Is The Key To Better Spend Management
Wealth Management
APRIL 3, 2025
State Street Global Advisors, announced that it led a $64 million Series D equity investment in the personalized investing technology provider Ethic.
179 
Nerd's Eye View
JULY 8, 2024
And to meet the growing demand for the required "Ethics & Professional Responsibility" content in particular, we're also excited to announce the return of our IAR Ethics CE on August 29 , 2024!
239 
Nerd's Eye View
JULY 17, 2023
In the early days when financial advisors were first and foremost salespeople for insurance and investments products, the reality is that "advisor training and education" wasn't really about finance or advice… it was mostly just about learning how the company's products worked and how to effectively sell them to consumers.
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Wealth Management
SEPTEMBER 14, 2022
The direct indexing platform designed to construct customized, values-based portfolios remains one of the last independent firms in its space.
245 
Wealth Management
SEPTEMBER 5, 2023
What might have been a framework to encourage more ethical investing has become a bureaucratic nightmare of box ticking.
306 
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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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.
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.
173 
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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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.
299 
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.
246 
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 (..)
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.
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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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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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 (..)
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.
101 
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.
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.
72 
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.
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.
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.
130 
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.
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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