Putting Highly Appreciated Assets to Work for Good Causes
Wealth Management
MAY 14, 2025
Advisors can better serve wealthy clients through strategic charitable giving of appreciated assets, from real estate to business interests.
#FASuccess Ep 440: Making Client Meetings More Consistent Across Multiple Advisors By Utilizing A “Money Personality” Assessment, With Nina Hajjar
Nerd's Eye View
JUNE 3, 2025
Nina is a partner of Stratos CA, a hybrid advisory firm affiliated with Stratos Wealth Partners and based in Los Angeles, California, that oversees approximately $500 million in assets under management for 300 client households.
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How To Overcome Change Fatigue In Finance With Neuroscience-Backed Strategies
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Your Accounting Expertise Will Only Get You So Far: What Really Matters
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#FASuccess Ep 412: 3X’ing The Business With No More Than 50 Great Clients By Hyperfocusing On Who You Can Add The Most Value For, With Anjali Jariwala
Nerd's Eye View
NOVEMBER 19, 2024
Anjali is the Founder of FIT Advisors, an RIA based in Torrance, California (but works virtually with clients nationwide) and oversees $65 million in assets under management for 45 client households.
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4 Ways And 5 Charts To Talk Tariffs With Clients With Empathy And Strategy
Nerd's Eye View
APRIL 16, 2025
A rapid sequence of policy announcements and reversals has created volatility across nearly every asset class, with the S&P 500 falling to near-bear-market levels before rebounding sharply. While clients may ask about the short-term impacts of the tariffs, many concerns are more deeply rooted in long-term goals. Read More.
Clients 228
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#FASuccess Ep 419: Attracting Clients Who Want To Align Their Investments With Their Values With A Sustainable Investing Approach, With Peter Krull
Nerd's Eye View
JANUARY 7, 2025
Pete is the Director of Sustainable Investing of Earth Equity Advisors, an RIA based in Asheville, North Carolina, that oversees approximately $200 million in assets under management for 250 client households. Read More.
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Seeking Best Execution: Understanding The SEC’s Expectations For Advisors To Deliver Best Outcomes For Clients
Nerd's Eye View
NOVEMBER 20, 2024
Investment advisers are fiduciaries that owe a duty of care and loyalty to their clients. One component of this duty of care is an obligation to seek best execution of client securities transactions. The SEC, in its interpretive release, sets an expectation of "periodic and systematic evaluation" (i.e.,
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Wall Street's Love for Alternative Assets Isn't a Good Deal for Clients, Expert Warns
Wealth Management
JUNE 4, 2025
Richard Ennis, investment consulting pioneer, argues alternative investments underperform and drain billions from portfolios, contradicting Wall Street's golden age narrative.
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Weekend Reading For Financial Planners (June 7–8)
Nerd's Eye View
JUNE 6, 2025
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a recent report finds that the number of SEC-registered RIAs, the assets that they manage, and the number of clients they serve all increased between 2023 and 2024 and suggests the industry is robust across the size spectrum, (..)
Helping Clients Grasp Abstract Retirement Income Strategies With Historical Market Visualization
Nerd's Eye View
APRIL 2, 2025
For many financial advisors, a core part of the retirement planning process involves simulating whether the client's assets will last through retirement. Yet while these tools offer mathematical metrics, they often fall short in helping clients connect the numbers to their real lives.
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BlackRock Muscles Into Private Assets Market for Wealth Clients
Wealth Management
JUNE 26, 2024
is expanding further into private-markets investing, striking a new partnership to include the assets alongside traditional ETFs and mutual funds in model portfolios pitched to wealthy US retail clients. (Bloomberg) -- BlackRock Inc. The firm will w
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Trends In Financial Advice Fees: What Financial Advisors Are Actually Charging For Their Services
Nerd's Eye View
JUNE 16, 2025
While many firms have historically relied on commission-based compensation methods – reflecting a sales-driven approach – financial advice has evolved with technological advancements and a greater focus on financial planning, with the Assets Under Management (AUM) fee emerging as the primary compensation model.
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Why Held-Away Asset Management Technology Is Being Scrutinized By State Regulators (And How Advisors Can Compliantly Manage Clients’ 401(k) Assets)
Nerd's Eye View
AUGUST 28, 2024
Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.
Assets 246
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What Are the Best Asset Classes for Active Management?
Wealth Management
JUNE 12, 2025
What Are the Best Asset Classes for Active Management? Low-cost passive wrappers work well for core equity investing, but certain asset classes are more conducive to active management. The industry’s heyday came in the 1980s and ’90s, when stocks soared and rockstar mutual fund managers like Peter Lynch raked in assets.
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Steering Clients Away From Investing Mistakes
The Big Picture
MAY 3, 2025
Fun conversation in Barron’s about Steering Clients Away From Bad Investing Mistakes. billion in assets under management. billion in assets under management. By John Kimelman Barron’s May 01, 2025 The post Steering Clients Away From Investing Mistakes appeared first on The Big Picture. Check it out here.
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Apollo Assets Reach $733 Billion, Boosted by Wealth Clients
Wealth Management
NOVEMBER 5, 2024
Apollo, like its peers, continues to target high earners for higher-fee-paying assets and has set a goal of raising at least $150 billion for its global wealth business by 2029.
Assets 274
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Private Assets Front and Center at Morningstar Investment Conference
Wealth Management
JUNE 28, 2024
Asset managers continue to launch investment products that resonate with advisors. But what assets work best in the space, and how to deploy them into client portfolios, remains up for debate.
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How Much Does Having The ‘Right’ Capital Market Assumptions Matter In Retirement Planning?
Nerd's Eye View
DECEMBER 11, 2024
is perhaps the most fundamental question a client brings to their advisor. Answering it well requires a range of assumptions – from estimating average investment returns to understanding correlations across asset classes. Beyond market variables, clients bring their own behaviors and preferences into play.
MiB: Elizabeth Burton, Goldman Sachs Asset Management
The Big Picture
SEPTEMBER 16, 2023
This week, we speak with Elizabeth Burton , managing director and client investment strategist at Goldman Sachs Asset Management. She advises institutional clients on investment strategies and portfolio objectives, working alongside global client advisers and product strategists across public and private markets.
Assets 306
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Apollo Assets Reach $733 Billion, Boosted by Wealth Clients
Wealth Management
NOVEMBER 5, 2024
Apollo, like its peers, continues to target high earners for higher-fee-paying assets and has set a goal of raising at least $150 billion for its global wealth business by 2029.
Assets 254
254 
Merrill Reports Record Assets, Slower Pace of New Clients
Wealth Management
APRIL 16, 2024
Merrill Wealth Management added around 7,300 net new clients during the first quarter, which was in line with the previous two quarters but down year-over-year.
Clients 278
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The Data on Active Large Cap Underperformance
The Big Picture
MAY 29, 2025
But the key takeaway remains this: Portfolios cannot achieve Alpha if they are not at least getting out with Beta. ~~~ Do you need help with your assets? The probabilities make it clear that a broad index should be the core of your portfolio; if you want to put your own spin on it, feel free to try.
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Captrust Reaches $1T in Client Assets
Wealth Management
JULY 30, 2024
The milestone validates Captrust’s business model and growth of the registered investment advisor space.
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Apollo Assets Reach $733 Billion, Boosted by Wealth Clients
Wealth Management
NOVEMBER 5, 2024
Apollo, like its peers, continues to target high earners for higher-fee-paying assets and has set a goal of raising at least $150 billion for its global wealth business by 2029.
Assets 244
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A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny
Nerd's Eye View
DECEMBER 18, 2024
This lack of specificity can result in regulatory deficiencies or scrutiny, even for firms providing substantial financial planning value to clients, if records fail to consistently demonstrate that fees are 'reasonable' in relation to the services provided. A client service calendar can be an excellent tool to illustrate these services.
Kitces & Carl Ep 155: How Do You Know You Are Adding Value Versus Just Trying To Justify Your Fees?
Nerd's Eye View
JANUARY 9, 2025
While financial advisors offer valuable services for their clients, it can sometimes be challenging to gauge how much clients actually value those services. On one hand, a client's willingness to pay an ongoing fee for financial advice suggests that they find the advisor's services worthwhile.
Financial Advice 228
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Weekend Reading For Financial Planners (May 10–11)
Nerd's Eye View
MAY 9, 2025
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a recent survey found that long-feared fee compression in the financial advice industry has yet to come to pass, though some advisors continue to see potential for small reductions in asset-based fees in the future.
#FASuccess Ep 442: Attracting $100M Per Month Of Like-Minded Clients By Being Vocal About (Divisive) Issues You’re Passionate About, With David Bahnsen
Nerd's Eye View
JUNE 17, 2025
billion in assets under management for 1,800 client households. David is the founder of The Bahnsen Group, an RIA based in Newport Beach, California, that oversees approximately $7.5
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Weekend Reading For Financial Planners (November 16-17, 2024)
Nerd's Eye View
NOVEMBER 15, 2024
Also in industry news this week: NASAA has proposed an amendment to its broker-dealer conduct model rule that would restrict the use of the terms “advisor” and “adviser” for broker-dealers and their registered representatives who are not also investment advisers or investment adviser representatives A recent study suggests that (..)
Weekend Reading For Financial Planners (January 25–26)
Nerd's Eye View
JANUARY 24, 2025
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that while overall financial advisor headcount remains relatively flat, the RIA channel continues to gain share in terms of both headcount (as brokers break away to start their own independent firms and aspiring advisors seek (..)
RIA Industry Hit Record Number of Firms, Client AUM in 2024
Wealth Management
MAY 30, 2025
increase in assets to $144.6 The Investment Advisor Industrys annual report showed an all-time high of 15,870 SEC-registered advisors overseeing a 12.6% as of the end of 2024.
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Adviser links: loving clients’ problems
Abnormal Returns
DECEMBER 2, 2024
podcasts.apple.com) The biz Fidelity's move to sweep client cash into FCASH, making more work for RIAs. riabiz.com) Morgan Stanley's ($MS) wealth management division apparently prioritized assets over vetting clients. riabiz.com) Why wealth managers need to do more to support client charitable giving. thinkadvisor.com)
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#FASuccess Ep 425: Implementing A Financial Planning Quality Control System To Improve Both Client Outcomes And Referrals, With Sebastian Guerra
Nerd's Eye View
FEBRUARY 18, 2025
Sebastian is the President of Guerra Wealth Advisors, a hybrid advisory firm based in Miami, Florida, with nearly $15M of revenue and almost 60 team members, supporting over 1,700 client households.
Merrill Earnings Highlight Size of New Clients, Not Quantity
Wealth Management
OCTOBER 15, 2024
In the third quarter, the wirehouse doubled the number of net new clients with $10 million or more in assets from a year ago.
Clients 276
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TD Bank Sues Raymond James, Ex-Employees for Stealing Clients With $22M in Assets
Wealth Management
MAY 17, 2024
TD Bank is suing Raymond James and two former employees, claiming they broke non-solicitation vows when they left TD, attracting $22 million in assets.
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#FASuccess Ep 435: When The Next-Gen Clients’ “Wealth Builder” Offering Becomes The Main Driver Of Growth For A $1B+ Advisory Firm, With Gideon Drucker
Nerd's Eye View
APRIL 29, 2025
Gideon is the CEO of Drucker Wealth, a hybrid advisory firm based in New York City, that oversees approximately $1 billion in assets under management for 800 client households.
Clients 130
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Edward Jones Launches New Model Focused on HNW Clients
Wealth Management
MARCH 12, 2025
Edward Jones Generations will focus on clients with a minimum of $10 million in investable assets who require help with cash flow analysis, trust and estate demands and business owner planning, among other needs.
Clients 268
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WealthStack Roundup: FP Alpha Releases P&C Snapshot, Which Summarizes Client Insurance Coverage
Wealth Management
SEPTEMBER 7, 2023
Also, GMO’s Nebo passes $1B in platform assets a year after launching, Finology Software’s website is now live and Focus Financial Partners is UPTIQ’s newest client.
#FASuccess Ep 421: Integrating Tax Preparation Without Hiring In-House CPAs To Bring More Tax-Focused Value, With Daniel Friedman
Nerd's Eye View
JANUARY 21, 2025
Daniel is the CEO of WMGNA, a hybrid advisory firm based in Farmington, Connecticut, that oversees approximately $270 million in assets under management for 200 client households.
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Weekend Reading For Financial Planners (November 30–December 1)
Nerd's Eye View
NOVEMBER 29, 2024
Which could prove to be a boon for the financial advice industry as more consumers are willing to entrust their assets to an advisor (while at the same time possibly making it tougher for some advisors to differentiate themselves primarily by how they put their clients' interests first?). Read More.
Weekend Reading For Financial Planners (March 22–23)
Nerd's Eye View
MARCH 21, 2025
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a report from Cerulli Associates found that, amidst an industry-wide trend towards comprehensive financial planning and away from pure transaction-based investment management, asset-based fees currently represent 72.4%
#FASuccess Ep 420: Making Financial Planning More Repeatable Without Losing The Customization Where Clients Prioritize What Matters Most, With Michelle Underwood Gass
Nerd's Eye View
JANUARY 14, 2025
Michelle is the Founding Principal of Paradigm Advisors, an RIA based in Dallas, Texas, that oversees approximately $110 million in assets under management for 80 client households.
#FASuccess Ep 413: Building An Internal Advisor Training Program To Solve The Talent Pipeline As A Growing $4B Advisory Firm, With Kevin Leahy
Nerd's Eye View
NOVEMBER 26, 2024
Kevin is the CEO of Connecticut Wealth Management, an RIA based in Farmington, Connecticut, that oversees approximately $4 billion in assets under management for 1,100 client households. My guest on today's podcast is Kevin Leahy.
#FASuccess Ep 416: Avoiding The Compliance Headaches When Going RIA By Choosing A ‘Supported Independence’ Corporate RIA Platform, With Fran Toler
Nerd's Eye View
DECEMBER 17, 2024
Fran is the CEO of Toler Financial Group, an RIA based in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households. My guest on today's podcast is Fran Toler.
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#FASuccess Ep 423: Expanding Across The Household By Helping (Affluent) Sandwich Generation Kids With Their Parents’ Financial Needs, With Cristina Livadary
Nerd's Eye View
FEBRUARY 4, 2025
Cristina is the CEO of Mana Financial Life Design, an RIA based in Los Angeles, California (but works virtually with clients nationwide), that oversees approximately $70 million in assets under management for 119 client households. Read More.
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