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Katie Greifeld July 2, 2025 2 Min Read Bloomberg photo (Bloomberg) -- Vanguard Group is planning its debut into an increasingly competitive corner of the $11.6 trillion US exchange-traded fund arena.
Which, in turn, has led a small but growing number of RIA firms to describe themselves as "conflict-free" on their websites and advertising materials as a way to distinguish themselves from other firms that may have more directly conflicted business models.
While state and Federal regulations clearly outline recordkeeping requirements for areas like financials, advertisements, and trading records, there is a notable gap when it comes to documenting the delivery of services – especially financial planning services – necessary to justify the fees charged for those services.
So, whether you're interested in learning about building a profitable hyperfocused practice, implementing a marketing approach that reaches a firm's ideal target client, or adding value for clients by offering advanced tax planning, then we hope you enjoy this episode of the Financial Advisor Success Podcast, with Anjali Jariwala.
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You can't do this in isolation, you need a team," said Terranova, senior managing director at Virtus Investment Partners, when asked by WealthManagement.com Executive Editor Diana Britton about who he uses as his advisor to handle tax and estate planning and more. “I
Fifty-three percent said they would like to learn more about the asset class, while 22% are planning to invest in the near future. Sub-HNW investors were significantly more likely to plan a near-term investment, at 36%. Only 13% of high-net-worth investors planned to do so.
For investment advisers looking to attract prospective clients, advertising the performance of their investment strategies would be a logical way to market their services (at least if they had strong historical returns!). Two final prohibitions under the Marketing Rule include restrictions on the use of predecessor performance (e.g.,
I was amazed by some of the findings, including that 68% of the 414 respondents are currently using or plan to adopt AI-powered tools—only 32% had no plans to do so. Q&A: What Was Behind Schechter’s Decision to Sell to Arax? expansion with significant support from some large firms.
Duran and the industry's self-proclaimed nerd, Michael Kitces, participated in a "Financial Feud" game show where they debated topics such as private equity, succession planning and the value of a brand.
The other competitors in this year’s demos included Addepar , Altrata , BILL , Encorestate Plans , GReminders , MileMarker , Mili AI , Wealthfeed , Zeplyn and Zocks. Related: Scenes from Day 2 of Wealth Management EDGE “My parents are 67 and 68, they have the classic Dell desktop covered in dust—everything is on their phone,” he said.
From Point Solutions to Seamless Intelligence For decades, our industry has relied on integrations—APIs painstakingly connected across custodians, CRMs, planning tools and portfolio management systems. Let’s say your planning tool doesn’t integrate with your CRM. It’s a shift in how we think about data, identity and access. No problem.
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Related: Planning for Older Clients and Those with Disabilities Many GRATs include a so-called “swap” power in which the grantor is permitted to substitute assets of equivalent value with the GRAT. Handler is a partner in the Trusts and Estates Practice Group of Kirkland & Ellis LLP.
As a result, financial advisors should start honing the services Gen X members will likely benefit from the most, including retirement planning, estate and tax planning and mortgage refinancing. trillion annually over the next decade as part of the great wealth transfer, a new report finds. trillion annually.
Whether clients support the policies with cash gifts or split-dollar, the discussion of options will necessarily involve a combination of insurance planning, tax planning, income and gift tax-oriented wealth transfer planning and investment planning. Charles L. Ratner Charles L. See more from Charles L.
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Jacob William Advisory has proactively recruited next-generation advisors as part of its business continuity plan. based advisor Brandon Dixon-James has moved his book of business from Osaic to LPL Financial. California RIA Deals & Moves: Focus Partners Wealth Merges in $5.6B His team was previously with Osaic for 12 years.
But we’re a financial planning-based firm, which creates some simplicity in how we allocate assets. Financial Planning: eMoney and MoneyGuidePro JW: Orion also has a pretty good integration with MoneyGuide Pro, and they have a decent one with eMoney, as well. They do have a lot more bells and whistles.
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For all of us on the editorial staff, it was a busy event. Each discussed how providing a more holistic approach to distribution-phase planning in their practices can amp up organic growth for advisory firms. She noted that while everyone has their own technology already, “there is a power to having a single chassis.”
Further, advisers tend to have higher ratings than businesses in other industries (perhaps reflecting the financial planning industry’s high retention rates and ability to make a difference in clients’ lives!). Next , by taking a proactive approach to reinforcing where they add value (e.g.,
Regardless of the size of a financial advisory firm, clients are a constant necessity to sustain a profitable business. Ultimately, advisors who can provide exceptional service to their clients don't necessarily need to promote themselves through commonly used avenues of advertising (e.g., Read More.
Lynn O'Shaughnessy , Columnist: College Planning June 12, 2025 4 Min Read 12875116/iStock/Getty Images Plus When I took on this task years ago, it was challenging to figure out the itinerary for a 12-day trip that included nine private liberal arts colleges in Massachusetts, New York and Pennsylvania.
As owners of financial planning firms approach retirement, some may decide to sell to an external buyer, while others may plan for an internal succession. Sometimes, this succession plan can include the owner's child, providing an opportunity to keep the business in the family.
In recent years, though, the growing use of lead-generation services, advisor networks, and ‘advisor-matching’ tools, referred to as “operators” in the Marketing Rule’s Adopting Release, has given rise to third-party solicitation activity that often looks more like advertising directly to prospective clients.
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only' checking client portfolios for tax-loss harvesting every other day, after having advertised daily checks) – a first for the SEC in scrutinizing an RIA not for failing to execute its investment promises to clients, but for failing to execute tax-loss harvesting promises instead.
SEO tactics, drip marketing campaigns, and online advertisements). Further, the benefits of how the CFP marks are perceived as a valuable brand appear to have a meaningful impact not only on how advisors spend their time, but also on their revenue growth as well.
Second, firms are generally required to adopt and implement a set of written policies and procedures governing the firm's actions in areas including proxy voting, cybersecurity, personal trading of the firm's employees, material nonpublic information, and the firm's business continuity plan.
Second, firms are generally required to adopt and implement a set of written policies and procedures governing the firm’s actions in areas including proxy voting, cybersecurity, personal trading of the firm’s employees, material nonpublic information, and the firm’s business continuity plan.
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.
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.
According to the most recent Kitces Research on Advisor Marketing, one of the most efficient marketing strategies is Search Engine Optimization (SEO), which involves taking a series of actions meant to get an advisor's website listed at the top of the rankings of a search engine like Google for specific search terms.
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