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Why Advertising “Conflict-Free” Advice Could Violate The SEC’s Marketing Rule

Nerd's Eye View

And given the sheer number and scope of potential conflicts that do exist in the advisory industry (where a wide range of providers seek to incentivize advisors to recommend their products and services to clients), there's a vanishingly small number of RIAs that don't have at least some form of actual or potential conflict to disclose.

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Vanguard Plans First Junk ETF as JPMorgan Heats Up Active Race

Wealth Management

Number 8860726. The Vanguard High-Yield Active ETF would trade under the ticker VGHY and invest at least 80% of its portfolio in high-yield debt, according to a Tuesday filing with the Securities and Exchange Commission. Registered in England & Wales with number 01835199, registered office 5 Howick Place, London, SW1P 1WG.

Planning 264
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Pennsylvania Advisor Who Used Client Funds on Country Club Dues Gets 8 Years in Prison

Wealth Management

Number 8860726. and Orchard Park Real Estate Holdings, was originally charged in January by the Securities and Exchange Commission and DOJ. Registered in England & Wales with number 01835199, registered office 5 Howick Place, London, SW1P 1WG. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG.

Clients 270
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Weekend Reading For Financial Planners (September 14–September 15)

Nerd's Eye View

Which means that while many fee-only RIAs use the reduced conflicts that come with the fee-only model (as opposed to firms that receive compensation from commissions and other sources) as a key marketing talking point, the fact remains that being truly 'conflict free' is nearly impossible and such claims (which are hard to substantiate) appear to be (..)

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101 Ways Advisors Can Add Value And Attract Their Ideal Clients

Nerd's Eye View

From advisors who earn commissions from the sales of financial products to fee-only investment advisors who charge based on client assets under management, the value advisors provide to their clients has often been centered on investment management.

Clients 246
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101 Things That Advisors Actually DO To Add Value (Beyond Just Allocating A Portfolio)

Nerd's Eye View

From advisors who earn commissions from the sales of financial products to fee-only investment advisors who charge based on client assets under management, the value advisors provide to their clients has often been centered on investment management.

Fee Only 246
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Getting Found – Your Google My Business Listing and the New SEC Marketing Rule

Midstream Marketing

Google My Business lets you provide essential information like your physical address, your phone number, the category of your business and even its most important attributes. Yes… but if that’s the path you want to go down, the Securities and Exchange Commission would like to have a word with you.