Wealth Management

JULY 22, 2022

Rick Bookstaber and Dr. Ashby Monk discuss the importance of understanding risk.

Risk Management 246

Risk Management Financial Advisor Management 246

Carson Wealth

FEBRUARY 4, 2025

Understanding Tax Compliance and Risk Management Ultra-high-net-worth individuals face unique tax challenges, including high rates and ever-changing complex tax codes. If managed improperly or inefficiently, tax issues could significantly erode your familys wealth and even lead to legal complications.

Risk Management 52

Risk Management Compliance Taxes Management 52

Norman Marks

JUNE 20, 2024

He wrote: As clear as mud: Do risk managers or decision-makers manage risk? Let’s consider the ISO 31000:2018 diagram of a risk management process. Stefan Hunziker recently wrote an excellent piece on LinkedIn. I congratulated him for his post, but I want to go into his question in more detail here.

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Risk Management Management Government 98

Nerd's Eye View

JANUARY 24, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that while overall financial advisor headcount remains relatively flat, the RIA channel continues to gain share in terms of both headcount (as brokers break away to start their own independent firms and aspiring advisors seek (..)

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Financial Planner Asset Allocation Clients Commission 246

Nerd's Eye View

MARCH 15, 2023

Risk management is a key part of many financial advisors’ value propositions. At the same time, clients face another class of risks that advisors often do not consider: cyber. using a client’s personal information for financial gain or other purposes), reputational risk (i.e.,

Management 246

Management Clients Wealth Management Insurance Coverage 246

Norman Marks

FEBRUARY 10, 2025

Raising your game from the Risk Coalition[1] has a subtitle that I really like: Pursue opportunities. Navigate risks.

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Risk Management Management Government 49

A Wealth of Common Sense

APRIL 4, 2024

Further Reading: The Siren Song of Market Timing The post The Difference Between Market Timing & Risk Management appeared first on A Wealth of Common Sense.

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Risk Management Management Financial Advice Marketing 106

Risk Management Guru

NOVEMBER 20, 2023

As the year 2023 draws to a close, it’s time to reflect on the significant strides made in the realm of Risk Management within the financial services industry. However, the industry has also made significant progress in strengthening its risk management capabilities.

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Risk Management Financial Services Management Compliance 105

Wealth Management

MARCH 12, 2025

Heather Kellys Mosaic Advanced Planning is a platform to help advisors integrate risk management and insurance into their practices.

Planning 264

Planning Risk Management Insurance Management 264

Wealth Management

SEPTEMBER 4, 2024

Private debt REITs offer a unique blend of income stability, risk management, tax efficiency, and diversification, writes Parkview Financial's VP of investor relations.

Portfolio 298

Portfolio Risk Management Taxes Management 298

Wealth Management

JUNE 25, 2023

In a turbulent economic landscape, advisors are prioritizing risk management and increasingly worried about client longevity, according to exclusive research from Wealth Management IQ.

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Wealth Management Retirement Risk Management Economics 304

Abnormal Returns

JULY 26, 2022

Inflation Hedging inflation is harder than it looks. insights.factorresearch.com) Can Twitter be used to forecast inflation? alphaarchitect.com) Performance The performance of tactical asset allocation mutual funds has been no great shakes. morningstar.com) How have multi-factor portfolios performed in practice.

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Risk Management Management Asset Allocation Media 130

Wealth Management

OCTOBER 24, 2023

Today’s risk management tools are too basic and provide mixed results.

Risk Management 305

Risk Management Clients Management 305

Norman Marks

JULY 8, 2022

In my last post, I outlined (at a very high level, with no detail) what I considered effective risk management entailed: When setting objectives, goals, and strategies, consider the things that might happen (both positive, opportunities, and negative, risks) and set achievable (if a bit of a stretch) objectives that will achieve the purpose of […]. (..)

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Risk Management Management 97

Wealth Management

APRIL 10, 2024

Estate planners should have a role in the overall risk management aspect of a client’s planning.

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Insurance Risk Management Clients Planning 279

Validea

OCTOBER 12, 2022

For the last 40 years, managing risk for investors has been pretty easy. The fact that bonds haven’t worked has made risk management very challenging during this bear market. But that doesn’t mean there was no way to manage risk. These are obviously only a few of the ways investors can manage risk.

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Risk Management Management Asset Allocation Portfolio 115

Wealth Management

OCTOBER 3, 2023

But with better risk management, they shouldn’t need to. It’s commonplace now for investors to sell their stakes in buyout funds before the vehicle matures.

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Risk Management Management 294

BlueMind

OCTOBER 25, 2022

However, amid these fears, it has become difficult for financial advisors to explain to clients that taking appropriate risks is deemed necessary in order to ensure your portfolio has the growth potential to reach your financial goals. Related: How to Determine Your Client’s Risk Capacity!

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Risk Management Clients Risk Tolerance Management 97

Wealth Management

OCTOBER 6, 2023

Beacon Pointe CIO Michael Dow and Director of Risk Management and Securities Research Julien Frazzo like U.S. large cap value and bonds.

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Risk Management Investing Investments Management 278

Norman Marks

DECEMBER 23, 2022

First, I will review the answers about auditing risk management. Q1: Does your internal audit function audit the organization’s management of risk? The results from my recent survey (thanks to the 75 internal audit practitioners who responded) are interesting. You can see the results of the earlier survey here.)

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Risk Management Management Government 81

Wealth Management

DECEMBER 5, 2023

David Gaito, head of direct lending at Fidelity, explores the world of direct lending, middle market credit, and the potential of private credit in portfolio diversification and risk management.

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Risk Management Marketing Marketing Portfolio 262

Darrow Wealth Management

MARCH 13, 2025

So if you have a large portion of your wealth tied to a single stock, here are six options to manage it. Morgan Private Bank) 6 ways to manage a concentrated stock position In no particular order, here are some strategies to reduce the risk of concentrated stock holdings. Gifting: Transferring stock to family members or trusts.

Management 66

Management Taxes Estate Planning Asset Allocation 66

Norman Marks

MARCH 4, 2024

Professor Mark Beasley has been a professor for 30 years and is a leader of the North Carolina State University’s Enterprise Risk Management Initiative. He was a board member of COSO for 7 years, has been a member of the member of the United Nation’s Internal Control Advisory Group for the last 7 years, and […]

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Risk Management Management Investing Investments 85

David Nelson

JANUARY 3, 2023

By David Nelson, CFA CMT All branches of the military use ORM or their own Operational Risk Management system. We identify the risks even those with low probability and make a quantitative judgement as to the feasibility of the mission and or flight. 60-40 is reborn.

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Risk Management Portfolio Management Valuation 98

The Big Picture

JANUARY 10, 2025

Prior to founding ClearAlpha, Brian spent 21 years at AQR Capital Management as a portfolio manager, researcher, head of trading, and the firm’s first non-founding Partner. As a senior portfolio manager, he was in charge of over $15 billion in hedge fund assets. He was also Cliff Asness’ first hire at GSAM.

Portfolio Management 147

Portfolio Management Risk Management Education Portfolio 147

Norman Marks

AUGUST 12, 2022

I have been talking (OK, preaching) about the need to manage the likelihood of achieving objectives (i.e., success) rather than limiting yourself and the organization by managing or mitigating risks. You need to take risks if you ever want to achieve objectives; the key is taking […].

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Risk Management Management Compliance Government 80

Wealth Management

JULY 24, 2023

million for “unsafe and unsound counterparty credit-risk management practices” at Credit Suisse, which UBS acquired in June. UBS agreed to pay $268.5

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Risk Management Management 231

Abnormal Returns

SEPTEMBER 10, 2024

blogs.cfainstitute.org) A review of recent research on portfolio risk management including 'Does Systematic Tail Risk Matter?' Quant stuff AI is not just another technology. blogs.cfainstitute.org) Using machine learning for portfolio optimization. capitalspectator.com) Poker as a tool to learn trading.

Marketing 267

Marketing Marketing Risk Management Portfolio 267

Abnormal Returns

JANUARY 29, 2024

Podcasts Brendan Frazier talks with Herman Brodie, co-author of "The Trust Mandate: The behavioral science behind how asset managers REALLY win and keep clients." wiredplanning.com) Michael Kitces talks with Michelle Ogden, who is the founder of Ogden Wealth, about managing growth.

Financial Advising 263

Financial Advising Financial Planning Risk Management Clients 263

Norman Marks

OCTOBER 14, 2024

But I am back to the more serious business of writing about internal auditing and risk management, this time it’s a book about how to audit risk management. Even with my many years of risk management and […] Writing a novel was fun, especially as I have been told it is quite entertaining.

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Risk Management Management Compliance Government 59

Abnormal Returns

JULY 26, 2024

epsilontheory.com) Joe Weisenthal and Tracy Alloway talk with Rich Falk-Wallace, founder and CEO of Arcana, about building risk management tools for pod shops. talkingbillions.co) Vishal Khandewal talks with Kenneth Andrade, Founder and CIO of Old Bridge Capital Management and Old Bridge Asset Management.

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Risk Management Management Portfolio Assets 264

Abnormal Returns

OCTOBER 2, 2024

wsj.com) Personal finance Ben Carlson, "Your two best forms of risk management in retirement are diversification and flexibility with your plan." (vox.com) The case against high yield savings accounts. disciplinefunds.com) Your credit card points are going down in value. tonyisola.com) What is money good for?

Retirement 277

Retirement Risk Management Accounting Insurance 277

Norman Marks

MARCH 14, 2023

I have seen some unfortunate postings on social media and in the news. Self-appointed experts telling us what happened, why, and whose fault it was. There’s a political battle going on as well, with people blaming federal government administrations, regulators, and so on. I’m not going to get into that. But I think it is […]

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Risk Management Banking Management Government 100

Norman Marks

OCTOBER 17, 2022

I like this review of the guidelines published a couple of years ago by internal auditors in the Nordics. Guest blogger Marinus de Pooter highlights some good points and areas of weakness. == A steering group drawn from the Institutes of Internal Auditors for the Nordic and Baltic countries issued the ‘Good practice guidelines for […].

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Risk Management Management 98

Calculated Risk

OCTOBER 12, 2022

In light of the broad-based and unacceptably high level of inflation, the intermeeting news of higher-than-expected inflation, and upside risks to the inflation outlook, participants remarked that purposefully moving to a restrictive policy stance in the near term was consistent with risk-management considerations.

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Communication Economics Risk Management Management 363

Norman Marks

SEPTEMBER 18, 2024

But I am going to take one CFO, share what he has to say about risk management, and talk about how dangerous his views and practices are. It is far too easy to generalize about all CFOs from the example of one. The Wall Street Journal recently published an article provided by Deloitte, Frank D’Amelio, […]

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Risk Management Management Compliance Government 49

Abnormal Returns

APRIL 15, 2024

awealthofcommonsense.com) Finance The CBOE's ($CBOE) defense of 0DTE options as risk management tool. (mrzepczynski.blogspot.com) Don't let one mistake keep your from investing over the long run. bestinterest.blog) Big winners require patience. ft.com) Goldman Sachs ($GS) traders had a good Q1 2024.

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Financial Advising Risk Management Media Retail 213