Nerd's Eye View

JULY 31, 2024

This is especially the case with newly registered advisors or formerly state-registered advisors who recently became SEC-registered since they may be uncertain about how the examination process will work, what elements of the firm the SEC will dig into, or what information the advisor will need to provide to the examiners.

Compliance 189

Compliance Ethics Advertising Clients 189

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

Abnormal Returns

JANUARY 2, 2024

bpsandpieces.com) Five ETF-related research papers from 2023 worth a look including 'Rise of Passive Investing - Effects on Price Level, Market Volatility, and Price Informativeness.' (alphaarchitect.com) A round-up of recent research papers including 'We’re Not So Different, High Yield Bonds and Leveraged Loans.' etf.com)

Investing 282

Investing Investments Marketing Marketing 282

Abnormal Returns

OCTOBER 13, 2024

sherwood.news) Two questions you should ask about any piece of market information. (downtownjoshbrown.com) Who died and paid the IRS a $7 billion estate tax bill? sherwood.news) JP Morgan Chase ($JPM) says the consumer is in good shape. behaviouralinvestment.com) Sorting cyclical from secular bull and bear markets.

Taxes 297

Taxes Investing Investments Marketing 297

Abnormal Returns

OCTOBER 8, 2024

alphaarchitect.com) Some academic research that has informed our understanding of market returns. (mrzepczynski.blogspot.com) Using AI to better explain past financial market returns. nber.org) How to extract economic data from the Wall Street Journal. advisorperspectives.com)

Economics 267

Economics Financial Market Marketing Marketing 267

The Big Picture

MAY 8, 2023

The Doc runs a full battery of tests, and delivers the bad news to the patient: “ Unfortunately, everything is okay… ” And that seems to be the same way many of today’s glass half-empty investors are digesting information about the markets. Is it fair to call today’s investors hypochondriacs? Consider : – Unemployment at 3.4%

Banking 321

Banking Media Marketing Marketing 321

The Big Picture

JULY 5, 2023

In fact, it may be even worse than that, because it appears that some at the Federal Reserve actually believe the Fed’s own survey of consumers contains information. At least, it does not contain valuable information providing insight into future inflation levels. As we have previously shown (repeatedly), it does not.

Economy 306

Economy Economics Marketing Marketing 306

The Big Picture

SEPTEMBER 19, 2024

16) Don’t focus too much on short term information flows; 17) Beware of new era thinking IE it’s different this time because… Market Technicain’s Association The post Marty Zweig Trading Rules appeared first on The Big Picture.

Marketing 306

Marketing Marketing 306

Nerd's Eye View

JUNE 28, 2023

One approach that can help create a more engaging and productive plan presentation is to 'flip' the meeting so that some (or most) of the information is presented in advance rather than during the meeting itself. Monte Carlo analysis) that might otherwise be difficult to understand when first encountered in a plan presentation meeting.

Planning 246

Planning Clients Financial Planning Education 246

The Big Picture

MAY 5, 2023

The problem is not how good or bad their track records are (they tend toward mediocre); rather it is our failure to use these tools properly, consistent with an inherently unknowable future always subject to new data and information that changes those probabilities. The odds change constantly as new information gets incorporated.

Economics 363

Economics Financial Planning Manufacturing Numbers 363

The Big Picture

FEBRUARY 14, 2023

More important than UFOs 1 is the intriguing process by which humans sift through a morass of conflicting information. Consider this definition: “ Investing is the art of using imperfect information to make probabilistic assessments about an inherently unknowable future.” A skeptical but rational approach can help.

Investing 299

Investing Investments Management Insurance 299

The Big Picture

AUGUST 24, 2022

Price contains information, unless it doesn’t : Stated more precisely, our attempts to interpret price action can easily lead us astray. Sometimes the market – a/k/a the collective judgment of all participants with capital at risk – may be informing us of something important we may have overlooked.

Marketing 327

Marketing Marketing Investing Investments 327

Abnormal Returns

JANUARY 16, 2024

morningstar.com) Insider buys are more informative than insider sells. (papers.ssrn.com) Research Kai Wu, "Trademarks provide a useful tool for finding strong brands." sparklinecapital.com) Just how useful is capital markets data from the 19th century? papers.ssrn.com) The case for more 'behind the scenes' small cap activism.

Distribution 262

Distribution Media Assets Economics 262

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

JUNE 12, 2024

Or if an advisor knowingly misled a client in giving information that led them to make an investment decision, they could be penalized for giving fraudulent advice under state or Federal law.

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investing Investments 245

Abnormal Returns

DECEMBER 19, 2023

canvas.osam.com) Family firms do a better job of keeping information secret. (on.ft.com) Corporate finance Stock-based compensation makes a big difference for company valuations. tdmgrowthpartners.com) Profit margins are high, debt refinancings are coming. papers.ssrn.com) Research What would it take to see a repeat of U.S.

Investing 290

Investing Investments Valuation Retail 290

The Big Picture

OCTOBER 2, 2023

“ To make better, more informed decisions about the future, we advise people to have “strong opinions, which are weakly held. ” -Bob Johansen at the Palo Alto Institute for the Future Investing is a probability exercise where we have to make decisions using imperfect information about an unknowable future.

Investing 345

Investing Investments Economy Portfolio 345

Abnormal Returns

NOVEMBER 14, 2023

researchaffiliates.com) Why two investors with the same information can come to different decisions. Quant stuff Just because someone says that use quantitative tools, doesn't mean they do. mrzepczynski.blogspot.com) Private equity Why you should be skeptical of private equity return claims.

Management 265

Management 265

Abnormal Returns

OCTOBER 8, 2024

mrzepczynski.blogspot.com) Strategy Two questions you should ask about any piece of market information. Markets Q3 earnings estimates are muted. sherwood.news) The yield curve is coming to terms with a new Fed regime. behaviouralinvestment.com) For taxable investors a preference for dividends doesn't make a lot of sense. rethinking65.com)

Electronics 285

Electronics Financial Advising Media Marketing 285

Abnormal Returns

FEBRUARY 6, 2024

Quant Academic research can inform, but saying it 'proves' something stretches credulity. morningstar.com) There are more problems in academic finance than just p-hacking. mathinvestor.org) A round-up of recent research white papers including 'Long-Term Private Equity Performance: 2000 to 2023.'

Management 260

Management Investing Investments 260

Nerd's Eye View

MARCH 15, 2023

using a client’s personal information for financial gain or other purposes), reputational risk (i.e., the release of potentially embarrassing personal information), and physical danger (e.g., stealing a client’s financial assets that are accessible online), identity theft (i.e., Read More.

Management 246

Management Clients Wealth Management Insurance Coverage 246

The Big Picture

JUNE 29, 2023

To do this, you must have good decision-making skills, and the ability to make sense of incomplete and sometimes contradictory information. One involves pizza, the other involves COVID, both are classic examples of how easily we can be misled if our thought process isn’t precise and our information sources are “unhygienic.”

Investing 321

Investing Investments Manufacturing Accounting 321

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 Taxes 243

Nerd's Eye View

NOVEMBER 29, 2023

Second, they facilitate clear and organized communication between the advisor and client to ensure that important information is effectively conveyed.

Planning 246

Planning Financial Planning Clients Communication 246

Mish Talk

NOVEMBER 30, 2022

As well as IBM and Maersk, the project had support from a number of carriers, customs organisations, banks and transport providers to create an information ecosystem. blockchain) helps to address agency and coordination problems by offering flexibility when sharing information (Perera and Czachorowski 2019 ).

License 219

License Transportation Distribution Banking 219

Abnormal Returns

AUGUST 2, 2024

fastcompany.com) How investors want to consume information. Then check out our weekly e-mail newsletter. newsletter.abnormalreturns.com) Mixed media Is there a better way to read e-mail newsletters? axios.com) Twitter is in terminal decline. spyglass.org)

License 279

License Financial Advising Media Economy 279

Nerd's Eye View

FEBRUARY 8, 2023

In addition, the TSP updated its website and introduced a smartphone app, which required participants to create new credentials and verify their personal information.

Planning 246

Planning Retirement Retirement Planning Government 246

Nerd's Eye View

APRIL 24, 2023

by breaking the data-gathering process into stages to collect information incrementally); advice delivery (e.g., by ensuring that clients receive information in a way that is useful for them); education (e.g.,

Financial Planning 246

Financial Planning Clients Planning Education 246

Nerd's Eye View

FEBRUARY 9, 2023

A simple way for advisors to educate prospects about asset minimums is to include the information on their firm’s website. This would help prospects searching for an advisor online to self-select themselves out from firms whose asset minimums may not apply to them.

Assets 246

Assets Communication Financial Advisor Financial Planning 246

Nerd's Eye View

NOVEMBER 22, 2023

Once the seller and potential buyer are ready to get serious about a deal, the next step will be to sign a mutual Confidentiality and Non-Disclosure Agreement (CNDA), which contractually obligates the parties to keep any information that is shared (as the name implies) confidential.

Compliance 246

Compliance Sales Financial Advisor Financial Planning 246

Abnormal Returns

FEBRUARY 27, 2024

wapo.st) Earlier on Abnormal Returns Research links: information and noise. (bonddad.blogspot.com) Apartment rents are a mixed bag. axios.com) Real wage growth is headed higher. econbrowser.com) How immigration is helping the economy. abnormalreturns.com) What you missed in our Monday linkfest.

Advertising 290

Advertising Financial Advising Communication Economy 290

Nerd's Eye View

JUNE 21, 2023

As a starting point, investment advisers must address 3 important questions when designing and implementing a compliant code of ethics: who within the firm is subject to reporting their personal securities transactions; what information needs to be reported; and when this information must be reported.

Ethics 244

Ethics Fiduciary Duty Compliance Clients 244

Nerd's Eye View

AUGUST 28, 2024

Alternatively, some advisors have instead opted to collect clients' login information so they can execute the trades in their clients' accounts themselves –presenting numerous data security and compliance issues for the advisor (and can lead to the advisor being considered to have custody over client assets).

Assets 246

Assets Management Clients Compliance 246

Abnormal Returns

SEPTEMBER 15, 2024

is losing the information war. (pnas.org) Economics Has the economics profession gotten too insular? msn.com) Historical evidence that the Fed is too slow to react. spheresofpossibility.substack.com) Policy The U.S. noahpinion.blog) New tariffs would require Congressional approval. econbrowser.com) How Erisa has helped American savers.

Marketing 276

Marketing Marketing Financial Advising Media 276

Nerd's Eye View

OCTOBER 9, 2024

The rules around gifting are nuanced and can create confusion for clients, but advisors with a clear understanding of gifting strategies can guide them toward informed decisions. All of which can do a great deal for clients aiming to make the most informed decisions possible! Read More.

Taxes 244

Taxes Medical Clients Education 244