Wealth Management

JUNE 11, 2025

Ratner June 11, 2025 2 Min Read A client whose estate will remain non-taxable after 2025 has a policy in an irrevocable life insurance trust (ILIT) that was presumably purchased for estate tax liquidity. It’s also an opportunity with not one but two, built-in time-sensitive calls to action by the client.

Wealth Management 165

Wealth Management Insurance Estate Planning Clients 165

Wealth Management

JUNE 10, 2025

But similar to the Great Financial Crisis of 2008, fiduciary advisors can use this opportunity to assert their value and give clients confidence that their broader financial plans aren’t as negatively impacted as they may think, given the daily doom-and-gloom market headlines. Some RIAs can turn volatility into a growth engine.

Wealth Management 147

Wealth Management Marketing Marketing Tax Planning 147

Nerd's Eye View

SEPTEMBER 21, 2023

Regardless of the size of a financial advisory firm, clients are a constant necessity to sustain a profitable business. As a starting point, there are unconventional marketing principles that can help advisors who do not want to engage in traditional marketing campaigns to effectively attract and acquire clients.

Advertising 246

Advertising Clients Communication Financial Advisor 246

Nerd's Eye View

APRIL 26, 2023

The 1st category of tasks that advisory firms must handle involves renewing their registration with the applicable state(s) in which they do business each year, which typically involves submitting select documents (e.g., Read More.

Compliance 246

Compliance Clients Advertising Accounting 246

Wealth Management

JUNE 10, 2025

Reconnect with Your “Why” When business is moving fast, losing sight of purpose is easy. Ask: • Am I serving the types of clients I enjoy working with most? • Are you on track regarding revenue, AUM, new clients, and team development? Is your brand aligned with the clients you want to attract?

Wealth Management 147

Wealth Management Financial Advisor Management Recruitment 147

Nerd's Eye View

JUNE 17, 2024

Nonetheless, fewer than 10% of SEC-registered investment advisers report using them, even though the SEC’s updated investment adviser marketing rule allows financial advisors to proactively encourage testimonials (from clients), use endorsements (from non-clients), and highlight their own ratings on various third-party review sites.

Financial Advising 246

Financial Advising Compliance Advertising Marketing 246

Nerd's Eye View

MARCH 27, 2023

Similarly, CFP practitioners were found to have a lower practice-wide Client Acquisition Cost (CAC) and greater revenue growth in 2021! SEO tactics, drip marketing campaigns, and online advertisements). Some strategies to do so can include simply talking about their own experiences as CFP professionals more intentionally (e.g.,

CFP 246

CFP Clients Certification Financial Advice 246

Wealth Management

JUNE 11, 2025

We have moved from a period of fierce independence, which was effectively a reaction to wirehouses and suitability and people looking to get closer to clients, into interdependence,” he said. Nathanson talked about "interdependence" and how the industry has changed. “We

Wealth Management 130

Wealth Management Management Financial Advisor Business Planning 130

Nerd's Eye View

APRIL 26, 2023

The 1st category of tasks that advisory firms must handle involves renewing their registration with the applicable state(s) in which they do business each year, which typically involves submitting select documents (e.g., Read More.

Compliance 246

Compliance Clients Accounting Advertising 246

Nerd's Eye View

FEBRUARY 1, 2023

Financial advisors who pay third parties to solicit or refer prospective clients to generate new business have historically been subject to the SEC’s Cash Solicitation Rule. These requirements include ensuring that promoters are eligible to receive compensation for testimonials or endorsements (i.e.,

Advertising 242

Advertising Compliance Marketing Marketing 242

Nerd's Eye View

JULY 31, 2024

Which means the firm will need to provide records of holdings and transactions for each of its clients (which may require some training and practice for employees to be able to quickly pull the needed data from the firm's custodian), as well as archived client communications and any advertisements produced by the firm.

Compliance 246

Compliance Ethics Advertising Clients 246

Nerd's Eye View

JULY 10, 2023

But as market trends changed (with the performance of this asset class falling behind large-cap stocks during the 2010s) and clients entered retirement (often consolidating their investment management with 1 advisor), Eliot Rose started losing clients, eventually becoming unprofitable in 2016, the year Jason became president of the firm.

Financial Planning 246

Financial Planning Retirement Planning Clients 246

Nerd's Eye View

OCTOBER 9, 2023

Different strategies have different Client Acquisition Costs (CACs), in terms of both hard-dollar marketing expenses and the cost of the advisor's time spent on the strategy, and an efficient market strategy is one that can effectively attract new clients while minimizing the amount spent to acquire them.

Engineering 245

Engineering Financial Advisor Management Clients 245

Nerd's Eye View

JANUARY 23, 2023

Traditional forms of marketing used by financial advisors – including networking with one’s friends and family members, cold-calling, and paid advertising – have been effective at reaching a ‘typical’ client base of older, wealthy retirees.

Marketing 246

Marketing Marketing Financial Planner Education 246

Nerd's Eye View

MAY 1, 2023

This month's edition kicks off with the news that robo-advisor Betterment entered into a $9M settlement with the SEC for misrepresenting its tax-loss harvesting practices in its client agreements and marketing materials compared with its actual practices (e.g.,

Taxes 245

Taxes Retirement Planning Advertising Retirement 245

Nerd's Eye View

JULY 31, 2024

Which means the firm will need to provide records of holdings and transactions for each of its clients (which may require some training and practice for employees to be able to quickly pull the needed data from the firm's custodian), as well as archived client communications and any advertisements produced by the firm.

Compliance 189

Compliance Ethics Advertising Clients 189

Nerd's Eye View

DECEMBER 20, 2022

In this episode, we talk in-depth about how, as Emily progressed in her career from working on 401(k) plans to focusing on financial planning, she faced challenges and eventual burnout while building a successful financial planning offering in a firm that was still primarily focused on 401(k) plans first and foremost and didn’t want to allocate (..)

Financial Advisor 246

Financial Advisor Financial Planning Planning Financial Planner 246

Nerd's Eye View

JUNE 7, 2023

Which makes it all the more important for IARs to ensure Form U4 is up to date and that the way they are presenting themselves to current and potential clients in public – including content on their website, advertisements, and social media post – aligns with their (also publicly available) regulatory disclosures!

Compliance 246

Compliance Advertising Media Investing 246

Wealth Management

JUNE 12, 2025

Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in  News See all Wealth Management EDGE RIA of the future RIA Edge RIAs of the Future Will Be Focused on Growing Revenue, Not Just Assets RIAs of the Future Will (..)

Wealth Management 130

Wealth Management Financial Planning Planning Financial Advisor 130

MazumaBusinessAccounting

JULY 15, 2021

Plan for Current Business Needs. First, let’s talk about the importance of a business plan. How does an idea develop into a fully functioning business? It takes vision, work, and a good plan. For entrepreneurs, we call this map a business plan. Creating a marketing plan.

Business Planning 105

Business Planning Taxes Planning Retirement 105

Clever Girl Finance

JULY 13, 2022

This can be one of the best small business ideas for women skilled in an instrument. Advertise locally and have students come to you for lessons in piano, violin, guitar, or whatever your specialty is. Use your art skills and graphic design software to make logos, infographics, advertisements, web banners, and more.

Food 122

Food Advertising Media Planning 122

Clever Girl Finance

JULY 6, 2023

In fact, many small business owners use the internet to advertise their services and connect with their customers. Social media management may involve daily tasks of posting and interacting with clients on Facebook, Instagram, and even Twitter. It’s completely up to you how many clients you take and how often you work!

Clients 105

Clients Media License Advertising 105

Steve Feinberg

AUGUST 9, 2023

Running any business is a challenging endeavor, but running a small web design business can be especially tough. In addition to creating visually stunning websites for clients, business owners must also manage the financial side of operations. Call us to get started!

Budgeting 52

Budgeting Taxes Accounting Management 52

Good Financial Cents

APRIL 19, 2023

Once the course is complete, I do some continued marketing and client support which amounts to just a few hours per week, while sales roll in month after month. You can earn passive income whether you’re an entrepreneur with a brilliant business plan, a talented artist, or just happen to have extra cash to invest.

Accounting 105

Accounting Investing Investments Media 105

Wealth Management

JUNE 11, 2025

Today, women aren’t just beneficiaries; they’re trustees, fiduciaries and stewards of complex estate plans often involving multigenerational wealth. In my practice representing high-net-worth clients in estate and trust disputes, I often see how expectations, emotional baggage and vague documents can turn estate plans into battlegrounds.

Estate Planning 225

Estate Planning Planning Wealth Management Fiduciary Duty 225

The Big Picture

OCTOBER 19, 2022

We’re owned by our clients. We didn’t do advertising. Actually, Jack Bogle wouldn’t let us say the word seller, product or advertising. What exactly does it do, and what sort of clients and customers are you working with? How does Vanguard operate and not advertise, not pay shelf space?

Clients 286

Clients Financial Advisor Taxes Investing 286

Wealth Management

JUNE 11, 2025

In this role, he advises clients on all aspects of estate & gift tax planning, asset titling, family governance, philanthropy and business succession strategies. Seiken Partner and Strategic Advisor, Brown Advisory Andrew is a partner and Strategic Advisor at Brown Advisory in the New York office.

Taxes 147

Taxes Wealth Management Estate Planning Distribution 147

Wealth Management

JUNE 11, 2025

Pat Soldano is now the Managing Director of Client Service for the firm’s Western Region. Soldano received her MBA from Claremont Graduate School and her BA in Business Administration from California State University, Fullerton.

Wealth Management 147

Wealth Management Management Estate Planning Planning 147

The Big Picture

JULY 4, 2023

I know you don’t disclose your clients, but the Wall Street Journal certainly mentioned those. ” I just had this with a client who runs a very large, not multi-manager, but multi-strategy fund. And the phone rings an hour in and it’s my client. RITHOLTZ: Really? It was year one or so of IDW.

Management 147

Management Recruitment Numbers Banking 147

The Big Picture

MAY 30, 2023

And so these were two stories, maybe three, before I’m 9-years-old of bad economics, bad culture, and a bad business plan. By the way, there’s a difference between an entrepreneur and a businessman or a business woman. Different risk tolerance and different business plan. They have a dumb business plan.

Banking 147

Banking Economics Economy Business Planning 147

Carson Wealth

JUNE 16, 2023

Brady Marlow, CFP ® , AEP ® ,   CAP ® , CPWA ® , CExP TM , Director, Carson Private Client Wealth Strategy How much is my business worth? The question is fundamental to all business owners. Every business transaction presents a unique mountain to climb.

Valuation 52

Valuation Business Planning Planning Consulting 52

Wealth Management

JUNE 9, 2025

Big discussions about the use of AI to improve efficiencies as most record keepers are looking to service more plans without increasing staff, something Ascensus is focused on, according to Anthony Bologna, national sales director, who said clients gave higher satisfaction scores when AI is used to answer questions.

Wealth Management 130

Wealth Management Retirement Planning Management 130

The Big Picture

MAY 16, 2023

And I’m like, dad, I found I need 25 grand to get going and my dad said send me a business plan. I went to business school RITHOLTZ: He just wanted you to go through the exercise. LINDZON: No, so obviously, I did the business plan, I’m kidding. Whereas eTrade they were spending billions on advertising.

Media 290

Media Investing Investments Valuation 290