Nerd's Eye View

DECEMBER 18, 2024

For investment management services, documenting the entire client engagement – such as onboarding, reviewing and recommending portfolio adjustments in line with collected suitability information, opening and funding accounts, conducting periodic reviews, and rebalancing – can help clearly evidence the services provided.

Financial Planning 246

Financial Planning Planning Compliance Clients 246

Nerd's Eye View

NOVEMBER 4, 2024

This month's edition kicks off with the news that Holistiplan has announced the rollout of a new estate plan document extraction tool to stand alongside its highly popular tax return scanning tool – which highlights how advances in AI technology have allowed tools like Holistiplan to go beyond tax returns and scan nearly any kind of document (..)

Estate Planning 243

Estate Planning Planning Communication Clients 243

The Big Picture

JANUARY 2, 2025

As much as I want you to buy HNTI, I’ll save some of you the $29 bucks with this summary: “ Have a financial plan, stay with it, manage your behavior, practice good information hygiene, and let the markets work for you over time.” I promise you will find it both entertaining and informative.

Banking 345

Banking Planning Economics Investments 345

Nerd's Eye View

NOVEMBER 27, 2024

Some give through established channels, such as by donating to charities or volunteer work, others may give informally to family members on a regular but less structured basis – and some simply aspire to "do more". Charitable giving is an essential aspect of many people's financial lives.

Clients 242

Clients Education Financial Planner Planning 242

Nerd's Eye View

MARCH 7, 2025

stocks has outpaced the rest of the market by so much that the number of companies categorized as “large cap” has shrunk from nearly 500 to only around 150 over the last 15 years Amid fears that U.S. equities underperforming international stocks over the next 10 years Why today’s high U.S.

Financial Planner 237

Financial Planner Taxes Numbers Planning 237

The Big Picture

FEBRUARY 18, 2025

There are so many financial myths and lots of bad information that, ultimately lead to poor behavior. Practice good information hygiene. The result: Bad investment outcomes that should not have occurred. How can we avoid the avoidable unforced errors? The short answer: Be aware of your own bubble. Be conscious of your own biases.

Investments 189

Investments Investing Numbers 189

The Big Picture

APRIL 13, 2025

” We also talk about how hes remained a force in the industry while calling out powerful people, advice for curating the right information diet, and some of his biggest misses. In this conversation, Barry shares the origin story and the ideas behind his latest book, “How Not to Invest.”

Wealth Management 182

Wealth Management Assets Management Investments 182

Calculated Risk

MARCH 5, 2025

Multiple Districts cited job growth in health care and finance, while employment declines were reported in manufacturing and information technology. This report was prepared at the Federal Reserve Bank of Minneapolis based on information collected on or before February 24, 2025. emphasis added

Economics 194

Economics Manufacturing Food Transportation 194

The Big Picture

MARCH 31, 2025

The challenge is how to frame the current economic scenario in a way that is useful and informative and not the usual run-of-the-mill noise. A quick note on tariffs : Over the past few weeks, I’ve been putting together my quarterly call for clients. We see this in the Tariffs On, Tariffs Off, Sell, Buy pattern of news-flow.

Taxes 303

Taxes Economics Education Planning 303

Nerd's Eye View

NOVEMBER 25, 2024

This timeline not only allows for the prospect to provide their information and Taylor's team to complete the analysis, but also gauges the prospect's commitment to a long-term relationship. If both parties agree, they proceed to a 60-minute discovery meeting to explore the prospect's goals and reasons for seeking advice.

Financial Planning 235

Financial Planning Sales Planning Retirement 235

Calculated Risk

JANUARY 29, 2025

In assessing the appropriate stance of monetary policy, the Committee will continue to monitor the implications of incoming information for the economic outlook. The Committee would be prepared to adjust the stance of monetary policy as appropriate if risks emerge that could impede the attainment of the Committee's goals.

Economics 162

Economics Accounting Marketing Marketing 162

Wealth Management

SEPTEMBER 24, 2024

TAG Intel is led by Jack Devine, a 32-year veteran of the CIA, who aims to democratize the information he’s been bringing to global corporate clients since 2000.

Wealth Management 316

Wealth Management Management Clients 316

Wealth Management

JUNE 16, 2023

While advisors should be informed and prepared as to risks and compliance issues, the opportunity with reviews is clear.

Compliance 338

Compliance 338

Calculated Risk

DECEMBER 18, 2024

In assessing the appropriate stance of monetary policy, the Committee will continue to monitor the implications of incoming information for the economic outlook. The Committee would be prepared to adjust the stance of monetary policy as appropriate if risks emerge that could impede the attainment of the Committee's goals.

Economics 147

Economics Accounting Marketing Marketing 147

Wealth Management

NOVEMBER 7, 2024

Private markets are where the public markets were 30 years ago when investment choices were abundant and information sporadic.

Marketing 304

Marketing Marketing Investments Investing 304

Nerd's Eye View

FEBRUARY 12, 2025

While future retirees can find nonreduced benefit estimates on their Social Security statements or online accounts, those already receiving benefits don't have access to this information – making it necessary to find a different way to predict how much their payments will increase once the law is fully implemented.

Retirement 245

Retirement Government Clients Planning 245

Wealth Management

OCTOBER 18, 2024

Separate lawsuits have LPL Financial and Ameriprise Financial battling over advisors leaving, claiming breach of contract and misuse of confidential client information.

Recruitment 298

Recruitment Economics Clients 298

Wealth Management

MARCH 26, 2025

Massachusetts Secretary of State Bill Galvin issued the subpoena seeking information on how Robinhood users in Massachusetts have traded college sports-events contracts.

Marketing 263

Marketing Marketing 263

Wealth Management

APRIL 29, 2024

The brokerage regulator argued the firm’s automated process for approving options traders on its self-directed platform missed instances where clients submitted applications with conflicting information.

Clients 299

Clients 299

The Big Picture

NOVEMBER 27, 2024

Never confuse opinion marketing with actual, useful information. ~~~ Give thanks this weekend! I think about this when I see the torrent of forecasts this time of year: Price targets for the S&P, inflation forecasts, and most LOL of all, NRF Black Friday retail predictions. Celebrate with family and friends. Count your blessings.

Economy 200

Economy Retail Portfolio Assets 200

Calculated Risk

NOVEMBER 7, 2024

In assessing the appropriate stance of monetary policy, the Committee will continue to monitor the implications of incoming information for the economic outlook. The Committee would be prepared to adjust the stance of monetary policy as appropriate if risks emerge that could impede the attainment of the Committee's goals.

Economics 147

Economics Accounting Marketing Marketing 147

Wealth Management

MARCH 27, 2025

State regulators and tech executives characterized the informal guidance as due diligence meant to clarify the potential liabilities and the safety of client data.

Assets 255

Assets Clients 255

Nerd's Eye View

JANUARY 24, 2025

Nonetheless, given the scale and brand awareness of the wirehouses, and as their own use of fee-based models increases (as opposed to primarily relying on commissions from selling products), competition for clients (and advisors) will likely remain stiff going forward, even amidst the favorable trends for RIAs Also in industry news this week: A recent (..)

Financial Planner 246

Financial Planner Asset Allocation Clients Commission 246

Calculated Risk

MAY 3, 2023

The Committee will closely monitor incoming information and assess the implications for monetary policy. In assessing the appropriate stance of monetary policy, the Committee will continue to monitor the implications of incoming information for the economic outlook.

Economics 324

Economics Accounting Banking Planning 324

Calculated Risk

MAY 6, 2024

Here is some information on single-family Real Estate Owned (REOs). Fannie reported results for Q1 2024. Fannie Mae reported the number of REOs decreased to 7,791 at the end of Q1 2024, down 5% from 8,403 at the end of the previous quarter, and down 9% year-over-year from Q1 2023.

Numbers 330

Numbers 330

Wealth Management

OCTOBER 17, 2023

The new Fidelity Independence Hub offers information and tools for advisors thinking about striking out on their own.

306

306

Calculated Risk

AUGUST 13, 2024

Here is some information on single-family Real Estate Owned (REOs). Fannie reported results for Q2 2024. Fannie Mae reported the number of REOs decreased to 7,179 at the end of Q2 2024, down 10% from 7,971 at the end of the previous quarter, and down 17% year-over-year from Q2 2023.

Numbers 323

Numbers 323

Wealth Management

OCTOBER 29, 2024

Financial Planning and Information Services represents Hightower’s fifth investment this year and follows news last week that it will take a majority stake in NEPC, an institutional consulting firm.

Consulting 278

Consulting Financial Planning Planning Investments 278

Wealth Management

NOVEMBER 27, 2024

Open, honest and candid discussion about DOL guidance on AI, the agency’s practice of sharing information with plaintiff’s attorneys, record keeper consolidation helping RPAs grow and more.

277

277

Wealth Management

OCTOBER 3, 2023

Justin Maher agreed to a 12-month suspension for not informing Northwestern Mutual of his involvement in co-founding a crypto asset eventually promoted by Kim Kardashian, Paul Pierce, Floyd Mayweather Jr. and other celebrities.

Assets 306

Assets 306

Wealth Management

JUNE 28, 2024

Jon Adams, CIO of Calamos Wealth Management, a $3.75B RIA, speaks on how the firm's roots in asset management inform its approach to investment selection.

Wealth Management 272

Wealth Management Management Assets Portfolio 272

Wealth Management

NOVEMBER 3, 2023

This is a pivotal moment in this ever-changing landscape, requiring advisors to weigh the benefits against the drawbacks and make informed decisions about their future path.

Financial Advice 297

Financial Advice 297

Calculated Risk

JUNE 26, 2023

Notes: Y-axis doesn't start at zero to better show the seasonal change. -- Gasoline Supplied: Energy Information Administration -- This graph, based on weekly data from the U.S. Energy Information Administration (EIA) shows gasoline supplied compared to the same week of 2019. Blue is for 2020.

Transportation 352

Transportation Numbers Sales 352

The Big Picture

AUGUST 25, 2022

It didn’t have to be expensive or exclusive, so long as it was informative and useful. Do it outside on the beach with bands and music and information and fun! For more information: Future Proof Festival site. Javitz Center? Official press release. Follow Future Proof on Twitter. See also : Batnick: Come Fly With Me.

Wealth Management 337

Wealth Management Investing Investments Marketing 337

Wealth Management

MARCH 24, 2025

Morgan Securities claims former employee Yahaira Felix is still soliciting clients allegedly using confidential information.

Banking 227

Banking Clients 227