Ethic Raises $64M, Led By State Street Global Advisors
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.
RIA Code Of Ethics: Important Nuances To Note In Relatively Straightforward Requirements
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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The Return Of IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog
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! Along with the expanded CE offerings, we've also been reinvesting heavily into making the Kitces platform easier to use. and other roles.
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From Black Boxes to Best Practices: AI Ethics For Estate-Planning Attorneys
Wealth Management
FEBRUARY 18, 2025
Hersch explores the risks artificial intelligence poses to confidentiality and outlines the ethical obligations attorneys must uphold.
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The Timeless Gift of Ethical Wills
Wealth Management
FEBRUARY 14, 2025
An ethical will can provide valuable emotional and moral guidance, adding depth to the more transactional nature of an estate plan.
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Announcing IAR Ethics CE Day And The State Of The (Nerd’s Eye View) Blog
Nerd's Eye View
JULY 17, 2023
In the 2nd half of the year and into 2024, we'll also be hiring a new Manager of People & Culture, a Curriculum DesigNerd and Instruction DesigNerd for our Education team, and a full-time Director of Advisor Research.
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Musaffa Wants More Muslims to Invest Ethically
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.
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Charitable Gifts: Ethical Concerns For all Professions
Wealth Management
APRIL 16, 2024
Avoiding sanctions, malpractice claims, IRS’ costly penalties, the slammer.
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Ethical Considerations When 'Firing' a Client
Wealth Management
JANUARY 11, 2023
What attorneys can and can’t do.
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Family Office to Tech Billionaires Dials Back What It Says on Ethics
Wealth Management
AUGUST 7, 2023
"Just say less" is becoming the new approach of private fund managers.
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Charitable Gifts: Ethical Concerns For All Professions: Part 2
Wealth Management
JULY 16, 2024
Know your stuff, keep up-to-date and do the right thing.
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Ethical Considerations for Advising The (Un)Happily Married
Wealth Management
AUGUST 22, 2023
When done correctly, joint representation can have many benefits.
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Advisor-Focused Investment Platform Ethic Raises $50 Million
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.
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Ethics Considerations When Entering Into Office Sharing Arrangements
Wealth Management
AUGUST 22, 2023
ABA Formal Opinion 507 addresses some of these issues.
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Justice Alito’s Stock Portfolio Stands Apart on US Supreme Court
Wealth Management
SEPTEMBER 9, 2024
Supreme Court justices are allowed to hold individual stocks, but ethics rules deem they should disqualify from cases involving the companies.
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Has ESG Gone Off the Rails?
Wealth Management
SEPTEMBER 5, 2023
What might have been a framework to encourage more ethical investing has become a bureaucratic nightmare of box ticking.
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The 2024 Kenneth Black Jr. Leadership Award Winner Is Mike McGlothlin
NAIFA Advisor Today
FEBRUARY 6, 2025
McGlothlin manages a staff of more than 65 employees and has maintained a 90% retention rate. He has demonstrated his personal commitment as a lifelong learner and educator and ethical professional. Leadership Award. He has built and nurtured relationships throughout the industry. FSP established the Kenneth Black Jr.
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IRS Amps Up Enforcement on the Wealthy
Wealth Management
NOVEMBER 13, 2023
Look to legal and ethical ways to reduce tax burdens. The IRS isn’t playing around; neither should your clients.
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CFP Board Begins Publishing Detailed Disciplinary Details
Wealth Management
NOVEMBER 9, 2023
The Board’s Disciplinary and Ethics Commission previously released anonymized iterations of its public sanctions, but starting today the Board will make the actual orders available to the public.
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Rebuilding The Kitces Members Section And The State Of The (Nerd’s Eye View) Blog
Nerd's Eye View
JANUARY 13, 2025
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!) in one fell swoop, and registration is already open now !
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#FA Success Ep 330: Raising And Lowering Fee Minimums To Manage Growth Pace And Advisor Capacity, With Ari Weisbard
Nerd's Eye View
APRIL 25, 2023
Ari is Managing Partner of Values Added Financial, an independent RIA based in Washington, D.C., that oversees $143 million in assets under management (AUM) for nearly 75 client households. Welcome back to the 330th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Ari Weisbard.
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Does Your Office Sharing Arrangement Put Client Confidentiality at Risk?
Wealth Management
AUGUST 22, 2023
Ethical considerations for this modern approach to working.
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New Guidance Issued on Virtual Office Sharing Arrangements
Wealth Management
JULY 19, 2023
A new opinion addresses how attorneys should meet ethical requirements for client confidentiality.
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How Financial Planners Can Help Uplift Communities
Wealth Management
AUGUST 29, 2022
Providing ethical, competent financial planning is an immediate and direct step to help your community improve its financial resilience.
Weekend Reading For Financial Planners (April 8-9)
Nerd's Eye View
APRIL 7, 2023
Also in industry news this week: FINRA has announced that, on the heels of its first enforcement action under the Reg BI rules, it will be ramping up its examinations of broker-dealers for potential violations (after a long period of relative leniency when firms were still determining how best to comply with the rule) A recent study from Ameriprise (..)
How To Survive Your First SEC Audit: Preparing For The SEC Examination And Complying With The Information Request Letter
Nerd's Eye View
JULY 31, 2024
At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.
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7 Steps to Define and Align Your Money Values for Success
Clever Girl Finance
JANUARY 10, 2025
Align your money values with your personal ethics Your personal ethicswhat you believe is meaningful and importantare deeply connected to your money values. By aligning your money values with your ethics, you create a financial plan that reflects who you truly are and what matters most. If you value adventure, save for a dream trip.
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Lawmakers Shouldn’t Be Stock Traders
Wealth Management
NOVEMBER 30, 2022
A long-overdue ethics reform would be a useful final step for outgoing House Speaker Nancy Pelosi.
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Rabbithole: What Do People Get Wrong About Money?
The Big Picture
MARCH 10, 2025
It’s well understood academically, but it’s still seeping out into the real practice of wealth management. It seems it’s still early days in the widespread understanding of how and why people behave the way they do around money and risk. Artificial wealth is the pursuit of wealth as an end unto itself.
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#FA Success Ep 298: Navigating The Evolution From Broker-Dealer To RIA Platform Leadership, With Carolyn Armitage
Nerd's Eye View
SEPTEMBER 13, 2022
billion in assets managed by over 20 affiliated independent advisor businesses. Carolyn is the President of Thrivent Advisor Network, an RIA platform that offers partnership and affiliate models for financial advisors and oversees $6.5
Top Strategies for Registered Investment Advisor Marketing
Midstream Marketing
OCTOBER 30, 2024
RIAs must understand and follow SEC marketing rules to meet their ethical and legal needs. By regularly exceeding what clients expect, investment advisors maintain high ethical standards. Compliance and Ethics in RIA Marketing RIAs manage their clients’ money. Clear communication is key. They help to reduce risks.
#FA Success Ep 358: Accelerating Growth By Asking For Referrals After Celebrating Shared Success With Clients, With Veronica Karas
Nerd's Eye View
NOVEMBER 7, 2023
Veronica is a Senior Financial Advisor at CAPTRUST and works from the RIA's Lake Success, New York, office, where she oversees $360 million in assets under management for about 200 client households. My guest on today's podcast is Veronica Karas.
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MiB: Charlie Ellis on Vanguard’s Rules of Investing
The Big Picture
DECEMBER 27, 2022
He tells how Jack Bogle pivoted from active fund management and sales to indexes, which according to his contract, he was not allowed to “sell” (they could only be bought). Ellis recalls that “Bogle was a force of nature” who created and honed the firm’s philosophy and culture of strong ethics.
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The SEC Playbook For Newly-Registered Advisers: Preparing For The SEC Examination And Complying With The Information Request Letter
Nerd's Eye View
JULY 31, 2024
At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.
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Announcing More Webinars And IAR CE In 2024 And The State Of The (Nerd’s Eye View) Blog
Nerd's Eye View
DECEMBER 11, 2023
In practice, this means that we'll be bringing back our popular IAR Ethics CE Day in 2024 (save the date for August 29th!), And a lot of advicers have more than 5 clients in Florida!
The Significance of Ethical Practices in Maintaining Trust and Integrity
Don Connelly & Associates
AUGUST 21, 2023
The reality is that advisors, through no fault of their own, sometimes find themselves in situations where conflicts between ethical principles, client interests, and regulatory requirements can create ethical dilemmas. Here are the most common ethical dilemmas faced by financial advisors.
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The Significance of Ethical Practices in Maintaining Trust and Integrity
Don Connelly & Associates
AUGUST 21, 2023
The reality is that advisors, through no fault of their own, sometimes find themselves in situations where conflicts between ethical principles, client interests, and regulatory requirements can create ethical dilemmas. Here are the most common ethical dilemmas faced by financial advisors.
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The Value of a CFA Charter: Ethics
Aleph
DECEMBER 14, 2022
The title of the talk was “The Value of Ethics –The Value of a CFA Charter.” ” The main point of my talk was that the uniqueness of the CFA Charter did not stem from the “Body of Knowledge” imparted in the exams, but rather from the emphasis on ethics. So what made me decide to write this tonight?
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Here are some examples of things Ethical Financial Advisors do
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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Examples of great things ethical financial advisors really like to do!
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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What Is the Most Important Component of Your Estate Plan as a Christian?
Cornerstone Financial Advisory
MARCH 14, 2025
Ethical Investments: Make investment choices that align with Christian values. Estate planning underlines the significance of responsible stewardship the management of resources in a way that respects God’s desires and values. Ethical Investments: Align investments with Christian values.
Corporate Engagement Spotlight: Ethical AI Practices
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. We also engage with company management teams to encourage best practices for mitigating risks, and to monitor implementation of those practices.
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Corporate Engagement Spotlight: Ethical AI Practices
Brown Advisory
APRIL 22, 2021
Corporate Engagement Spotlight: Ethical AI Practices. As sustainable investors, we engage current and potential portfolio companies in discussions about these risks, to help ensure that they are managing and mitigating them in a comprehensive manner. We engage frequently with management teams and other stakeholders on these issues.
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What Is the Importance of Estate Planning For Christians?
Cornerstone Financial Advisory
FEBRUARY 26, 2025
After all, financial resources are a divine gift, which means dutiful financial stewardship is essential to faithful wealth management. This includes how we plan and manage our estate. Stewardship is a cornerstone principle for Christiansit stresses the importance of prudent financial management as stewards of God’s blessings.
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