MAI Capital Management Acquires $1.2B Fee-Only RIA
Wealth Management
OCTOBER 7, 2024
The Cleveland-based MAI's acquisition of Halpern Financial is the firm’s eighth deal this year and its 40th since 2018.
Osaic Super OSJ Rolls Out Affiliation Model for Fee-Only RIAs
Wealth Management
MAY 2, 2024
Rita Robbins sees an opportunity to bring Affiliated Advisors' service model to fee-only advisory firms bogged down in “the muddy middle.”
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Backed By Lincoln Investment, Two Longtime RIA Execs Seek to Acquire Fee-Only Firms
Wealth Management
OCTOBER 14, 2022
partners with Lincoln Investment to invest in growing fee-only RIAs. New RIA aggregator on the block, Transcend, formed by execs from Mercer and Budros, Ruhlin & Roe.,
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$1.2B Fee-Only Firm Joins Boston-Based CW Advisors
Wealth Management
AUGUST 19, 2024
Adding the Virginia and Pennslyvania-based Agili to CW Advisors will boost the combined firm to 11 offices nationwide, with 113 employees and $10 billion in AUM.
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How to Find a Fee-Only Financial Advisor
Darrow Wealth Management
FEBRUARY 13, 2025
If youre looking for a fee-only financial advisor or wealth manager, its probably because you know fee-only advisors don’t sell products. Here are some ways to find the best fee-only financial advisor to suit your needs. What do fee-only financial advisors cost? Independent firm.
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7 New Lessons Learned Building A Fee-Only RIA From Scratch: Years 3–5
Nerd's Eye View
SEPTEMBER 23, 2024
Nonetheless, after a year or 2 in business, some firm owners will find that their plate is becoming full and their available time is shrinking as they balance servicing current clients with marketing for new ones and also possibly managing staff. Jake also learned key lessons on managing daily schedules.
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How a Fee-Only, Flat-Fee Financial Planner Can Save You $114K+
MainStreet Financial Planning
MARCH 7, 2025
The two most common pricing models are fee-only financial planners (flat-fee or fixed-fee advisors) and AUM-based financial advisors (who charge a percentage of assets under management). While AUM advisors may seem appealing, they often come with high lifetime fees and potential conflicts of interest.
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Private Advisor Group Adds $120M Charlotte Team
Wealth Management
FEBRUARY 6, 2024
Ryan Poterack shuttered his own RIA to join Private Advisor Group’s, as part of the firm’s growing cohort of fee-only advisors.
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#FA Success 291: Managing Fast Growth And Slow Growth Of A Planning-Centric Advice Firm, With Amy Irvine
Nerd's Eye View
JULY 26, 2022
Amy is the owner of Rooted Planning Group, an independent RIA based in Corning, New York that oversees $67 million in assets under management for 175 client households.
Thurston Springer Launches Member-Based RIA Service Network
Wealth Management
MARCH 28, 2025
John Peluso, who led the creation of Wells Fargos RIA fee-only advisor program, is spearheading Thurston Springers exchange, which includes discounts in areas such as marketing and succession planning.
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Weekend Reading For Financial Planners (September 14–September 15)
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.
NAPFA Updates Membership Standards to Allow for Some Commissions
Wealth Management
JULY 5, 2023
The membership organization for fee-only advisors will now allow for a de minimis amount of commission business, as long as it's relinquished.
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101 Ways Advisors Can Add Value And Attract Their Ideal Clients
Nerd's Eye View
NOVEMBER 28, 2022
From advisors who earn commissions from the sales of financial products to fee-only investment advisors who charge based on client assets under management, the value advisors provide to their clients has often been centered on investment management.
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101 Things That Advisors Actually DO To Add Value (Beyond Just Allocating A Portfolio)
Nerd's Eye View
NOVEMBER 28, 2022
From advisors who earn commissions from the sales of financial products to fee-only investment advisors who charge based on client assets under management, the value advisors provide to their clients has often been centered on investment management.
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$4B Wells Fargo FiNet Team Launches Independent RIA
Wealth Management
AUGUST 23, 2022
based team sought to be fee-only and escape the contraints Wells Fargo placed on investment options and services he was able to offer his clients. Tom Moran and his Naples, Fla.-based
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#FA Success Ep 363: Finding The Best Networking Approach For Prospects (And New Career Opportunities), With Christa Madison
Nerd's Eye View
DECEMBER 12, 2023
Christa is the Managing Director of Financial Planning and Business Development at Sebold Capital, a fee-only RIA based in Chicago, Illinois, which manages $300M across more than 100 client households. Welcome back to the 363rd episode of the Financial Advisor Success Podcast!
How to Find a Fiduciary Financial Advisor
Darrow Wealth Management
NOVEMBER 4, 2024
Looking to find fiduciary financial advisors and wealth managers? Only fiduciary advisors are legally bound to act in your best interest at all times. Independent wealth management firms have no affiliations or allegiances to a fund family or financial product. What is a fiduciary advisor? A note of caution on near me searches.
What’s a Fiduciary & Fee-Only Advisor?
Yardley Wealth Management
MAY 30, 2023
The post What’s a Fiduciary & Fee-Only Advisor? appeared first on Yardley Wealth Management, LLC. What’s a Fiduciary & Fee-Only Advisor? A Guide for Financial Planning When it comes to managing your finances, it’s crucial to work with a professional who puts your interests first.
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#FA Success Ep 305: Accelerating Growth Of (Fee-Only) Clients By Making It Clear You Have Nothing To Sell, With Mindy Crary
Nerd's Eye View
NOVEMBER 1, 2022
Mindy is the owner of Creative Money, an independent RIA based in Seattle, Washington, that offers a unique 12-month financial planning engagement – or as Mindy puts it on her homepage, “financial planning that doesn’t suck” – which has allowed her firm to work with nearly 400 client households just this year.
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Accelerating Growth By Marketing How Your Advisory Firm Is Different (Instead Of Better)
Nerd's Eye View
OCTOBER 16, 2023
Consumers have a wide range of options when it comes to choosing a provider of financial advice, from larger wirehouses and asset managers to smaller Registered Investment Advisers (RIAs).
#FA Success Ep 356: Scaling To (Nearly) $2M Of Revenue As A Flat-Fee, Advice-Only Firm, With Sarah-Catherine Gutierrez
Nerd's Eye View
OCTOBER 24, 2023
Sarah-Catherine is the founder of Aptus Financial, a fee-only financial planning firm based in Little Rock, Arkansas, that is approaching $2M in revenue and works with over 480 client households. Welcome to the 356th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Sarah-Catherine Gutierrez.
Managing Sudden Wealth
Darrow Wealth Management
JUNE 14, 2023
Managing sudden wealth paid in cash after the sale of a business or winning the lottery also requires planning, but perhaps with a bit less to unpack in the beginning. Sudden wealth events rarely happen more than once during someone’s lifetime (if at all), so proper financial management is essential. What is sudden wealth?
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What does it mean to be a Fee-Only financial advisor?
Walkner Condon Financial Advisors
APRIL 17, 2023
Fee-Only financial advisors and firms receive no sales-related compensation or incentives. They are compensated only by the fee the client pays. Fee-Only financial advisors, on the other hand, do not receive commissions and are compensated through a fee-for-service model.
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Serving Pro Bono Clients As A Busy Advisor: How Advisers Give Back Makes Volunteering Easy
Nerd's Eye View
AUGUST 15, 2022
But while new fee models have allowed fee-only advisors to reach an expanding range of potential clients, there are many Americans who could benefit from professional financial advice but might not have sufficient income or assets to pay for it. law) with established pro bono programs.
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#FA Success Ep 351: Facilitating Successful Advisor Mergers & Acquisitions By Avoiding The Conflicts Of A Success Fee, With Jessica Polito
Nerd's Eye View
SEPTEMBER 19, 2023
Jessica is the Founder and Principal for Turkey Hill Management, a mergers & acquisitions consulting firm that assists financial advisors with the sale, acquisition, integration, or merger of their firms. Welcome back to the 351st episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jessica Polito.
Welcoming Francheska Ruiz and Chad Williamson to Our Advisory Team
Tobias Financial
APRIL 1, 2025
With nearly 10 years of experience working with high-net-worth individuals in the fee-only Registered Investment Advisor space, Chad is dedicated to helping clients navigate complex financial decisions.
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Adviser links: AI-assisted financial advice
Abnormal Returns
SEPTEMBER 30, 2024
(wealthmanagement.com) Advisers 7 more lessons from building an fee-only RIA from scratch. thinkadvisor.com) A Q&A with Moshe Milesky author of “The Religious Roots of Longevity Sharing: The Genesis of Annuity Funds in the Scottish Enlightenment and the Path to Modern Pension Management.” thinkadvisor.com)
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Serving Pro Bono Clients As A Busy Advisor: How Advisers Give Back Makes Volunteering Easy
Nerd's Eye View
AUGUST 15, 2022
But while new fee models have allowed fee-only advisors to reach an expanding range of potential clients, there are many Americans who could benefit from professional financial advice but might not have sufficient income or assets to pay for it. law) with established pro bono programs.
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#FA Success Ep 386: Turning Impostor Syndrome Anxiety Into A Strength That Drives Client Referrals, With Dann Ryan
Nerd's Eye View
MAY 21, 2024
Dann is a Managing Partner of Sincerus Advisory, an RIA based in New York City, that oversees approximately $165 million in assets under management for nearly 150 client households. Welcome to the 386th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Dann Ryan.
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Fee-Only vs. Commission-Based Information
Inside Information
JULY 25, 2024
billion in assets under management? You might be interested to know that Arkadios Capital recruited a former LPL team that manages $850 million in client assets. And in between, there are predictions and a lot of boasting from the largest investment management firms and custodians, who like to keep their names in the news.
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#FASuccess Ep 388: Transitioning To Independent RIA With Only $7M Of AUM To Turbocharge Growth With Website Local SEO, With Freeman Linde
Nerd's Eye View
JUNE 4, 2024
Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. My guest on today's podcast is Freeman Linde.
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#FA Success Ep 388: Transitioning To Independent RIA With Only $7M Of AUM To Turbocharge Growth With Website Local SEO, With Freeman Linde
Nerd's Eye View
JUNE 4, 2024
Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. My guest on today's podcast is Freeman Linde.
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Genuine Advisory vs Product Selling
Truemind Capital
JANUARY 24, 2025
Many of our clientscome to us after dealing with traditional wealth management setups. Too many products create clutter in the portfolio and distract from efficient management of your portfolio. The best way to avoid such a situation is to deal with fee-only SEBI RegisteredInvestment Advisors who cannot earn commissions by regulation.
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3 Things You Don’t Know About Josh
The Big Picture
SEPTEMBER 5, 2024
Not just because of his personal experiences as a stockbroker or an advisor, or as a manager of once a brokerage firm and now an RIA – but because of his deep curiosity about what makes this industry tick. Wells Fargo Advisors said at the end of 2013 it had $375 billion in managed account assets, roughly 27% of the $1.4
#FA Success Ep 387: Merging A Fast-Growth Firm Into A Much Larger One To Get The Operations Monkeys Off Your Back, With Jenny Martella
Nerd's Eye View
MAY 28, 2024
Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5 billion in assets under management for approximately 4,700 client households. Welcome to the 387th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jenny Martella.
Managing Compliance as an Independent Financial Advisor
XY Planning Network
MAY 8, 2023
Many advisors—especially those who haven't managed their own compliance previously—can feel like it's the "monster in the closet." Let's talk compliance. Sometimes that one word has the power to make financial advisors break out in a sweat. But it doesn't need to be!
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#FASuccess Ep 387: Merging A Fast-Growth Firm Into A Much Larger One To Get The Operations Monkeys Off Your Back, With Jenny Martella
Nerd's Eye View
MAY 28, 2024
Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5 billion in assets under management for approximately 4,700 client households. Welcome to the 387th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jenny Martella.
5 Investment Management Options To Consider When Launching Your RIA
XY Planning Network
NOVEMBER 21, 2022
One of the most common questions we hear from advisors interested in starting their own RIA is “What are my options for investment management?” After working with small business owners for over a decade, I am no stranger to the pressure so many people feel to get their ducks in a row, launch, and grow as quickly as possible.
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Stock Market Highs and Your Retirement
The Chicago Financial Planner
NOVEMBER 8, 2021
Do it yourself if you’re comfortable or hire a fee-only financial advisor to help you. Manage your portfolio with an eye towards downside risk. Manage your portfolio with and eye towards downside risk. If you have a financial plan this is an ideal time to review it and see where you are relative to your goals.
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Active vs. Passive Investing: Which Strategy is Right for You?
Your Richest Life
JANUARY 27, 2025
Active investing involves a hands-on approach to managing your portfolio. Another problem is that there are fees associated with buying and selling in the markets. Transaction fees, management fees, and capital gains taxes can eat into your returns. of professionally managed portfolios in the U.S.
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Get a job as a Financial Paraplanner at an RIA firm and ignore the schmucky wirehouse and insurance jobs!
Sara Grillo
OCTOBER 21, 2022
In this blog, I interview paraplanning professionals to get their take on what the role is, what it pays, and what it potential is for someone who wants to get a job as a financial paraplanner, possibly as a stepping stone to other wealth management jobs. Fee-only advisors are bound to the fiduciary standard.
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How to Ensure a Smooth Transition to Your New RIA Firm
XY Planning Network
DECEMBER 9, 2024
Managing this process effectively is crucial for retaining clients and ensuring compliance. If you're an established financial advisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns.
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2025 Q1 Update: Federal Reserve Rates, Inflation and Financial Markets
Your Richest Life
FEBRUARY 24, 2025
Managing Investments During a Financial Crisis About Your Richest Life At Your Richest Life, Katie Brewer, CFP, believes you too should have access to financial resources and fee-only financial planning. The best way forward is to keep an eye on your long-term plans, and try not to get derailed by uncertainty.
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