Remove Article Remove Communication Remove Compliance
article thumbnail

Weekend Reading For Financial Planners (February 1–2)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that following the change of administration (and a new incoming chair of the SEC), the Investment Adviser Association is seeking to find ways to help RIAs (particularly smaller firms) manage the compliance responsibilities they (..)

article thumbnail

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

Nerd's Eye View

Also in industry news this week: A CFP Board study indicates that financial planners with the certification earn 10% more than other advisors and show very high levels of career satisfaction A Morningstar study has identified 4 main areas where investors find value from their financial advisors, which might not match an advisor's own list of top ways (..)

Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

From New-Hire To Confident Advisor: Structuring A First-Year Associate Advisor Onboarding Plan To Develop Technical And Client Skills

Nerd's Eye View

In this article, Senior Financial Planning Nerd Sydney Squires discusses how to construct an associate advisor onboarding plan that guides an associate advisor through their first year, establishes clear checkpoints for progress, yet still allows enough flexibility to grow with the new advisor! building an initial financial plan).

Planning 130
article thumbnail

Weekend Reading For Financial Planners (July 27-28)

Nerd's Eye View

Also in industry news this week: While the number of RIA M&A deals has not surged in 2024, the average size of deals has increased, demonstrating interest from (often private-equity-backed) firms in pursuing larger targets Off-channel communication tops the list of concerns amongst RIA compliance professionals, with advertising and marketing coming (..)

article thumbnail

Weekend Reading For Financial Planners (May 3–4)

Nerd's Eye View

a ski chalet), assessing whether it will lead to greater overall wellbeing, or, alternatively, more stress, is more challenging Enjoy the 'light' reading! a ski chalet), assessing whether it will lead to greater overall wellbeing, or, alternatively, more stress, is more challenging Enjoy the 'light' reading!

article thumbnail

Weekend Reading For Financial Planners (January 27-28)

Nerd's Eye View

Also in industry news this week: A House committee has advanced a bill that would extend several expired business-related tax measures from the Tax Cuts and Jobs Act and would increase the value of the Child Tax Credit The SEC released its examination priorities for 2024, which include a focus on advisers' adherence to their duty of care and duty of (..)

article thumbnail

The Digitally Borderless Society Is Coming—And Faster Than We Think

Wealth Management

One system talks to another—if an API exists, if someone maintains it, if both systems support bidirectional communication. The views and opinions expressed in this article are those of the author and do not necessarily reflect the official policy or position of Moran Wealth Management. Number 8860726. No problem.