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. 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.
Nerd's Eye View
JULY 10, 2023
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.
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Nerd's Eye View
FEBRUARY 1, 2023
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.
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 (..)
Nerd's Eye View
MAY 1, 2023
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.
Nerd's Eye View
MARCH 27, 2023
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.
Nerd's Eye View
APRIL 26, 2023
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.
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