Wealth Management

FEBRUARY 7, 2023

The commission claims Joshua Coleman raised more than $200 million in loans, opening multiple lines of credit and using clients’ funds without permission.

Clients 261

Clients Commission Assets 261

Wealth Management

JULY 2, 2025

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. Active is 10% of ETF assets now — lots of room to grow.” Junk-bond ETFs have attracted roughly $11.6

157

157

Wealth Management

SEPTEMBER 25, 2023

trillion—with a "T"—with no evidence of any legitimate assets at all, according to the commission. Vista Financial Advisors registered in 2021 and soon claimed it managed more than $11.5

Commission 284

Commission Financial Advisor Assets Management 284

Wealth Management

SEPTEMBER 25, 2023

Wellesley Asset Management failed to properly disclose that it used hypothetical performance in advertisements for an index it created, according to the commission.

Advertising 272

Advertising Commission Assets Marketing 272

Nerd's Eye View

APRIL 11, 2025

Senate has confirmed Paul Atkins to be the next Chair of the Securities and Exchange Commission (SEC). Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the U.S.

Financial Planner 140

Financial Planner Communication Commission Clients 140

Wealth Management

MAY 5, 2023

Classic Asset Management will pay more than $933,000 to settle charges with the commission. The settlement comes several months after the SEC’s Exam Division cited leveraged ETFs as a main area of focus.

Commission 261

Commission Assets Management 261

Wealth Management

JUNE 26, 2025

and Orchard Park Real Estate Holdings, was originally charged in January by the Securities and Exchange Commission and DOJ. Mason, who ran Rubicon Wealth Management, a registered investment advisor in Gladwyne, Pa., He pleaded guilty to all of the criminal charges.

Clients 271

Clients Estate Planning Wealth Management Planning 271

Nerd's Eye View

MAY 15, 2024

commissions), and who holds themselves out as a trusted adviser by either stating they are acting as a fiduciary or otherwise indicates that they are making individualized recommendations based on the investor's best interest.

Retirement 246

Retirement Commission Banking Financial Advising 246

Mish Talk

DECEMBER 4, 2022

10, the Securities Commission of the Bahamas began steps to liquidate FTX Digital Markets, the unit controlling the company’s international exchange. The liquidators later ordered the transfer of the unit’s crypto assets to a digital wallet controlled by the Bahamian government. million in assets in FTX Turkey Teknoloji Ve Ticaret AS.

Assets 176

Assets Banking Government Commission 176

Trade Brains

JUNE 29, 2025

The government just unveiled its second major digital asset policy statement. Specifically, the Securities and Futures Commission (SFC) will oversee key players. This includes digital asset service providers and exchanges. Officials explore asset tokenisation. It also promises incentives for tokenising real assets.

License 64

License Assets Government Commission 64

Abnormal Returns

MARCH 20, 2024

peterlazaroff.com) Investing There's no magic rule for asset allocation. financialducksinarow.com) How homebuying is going to change with a new commission regime. (podcasts.apple.com) Peter Lazaroff talks with Manisha Thakor author of “MoneyZen: The Secret to Finding Your “Enough.” vox.com) Why you won't likely regret shedding stuff.

Asset Allocation 273

Asset Allocation Retirement Commission Taxes 273

Nerd's Eye View

OCTOBER 3, 2022

While the growth of DPL’s marketplace may itself usher in a greater level of annuity competitiveness, as companies are forced to compete for RIA attention not by offering the biggest commissions but by offering the best features and benefits to get through the RIA-as-gatekeeper.

Commission 246

Commission Financial Planning Ethics Planning 246

Mish Talk

DECEMBER 22, 2022

The Securities and Exchange Commission and Commodity Futures Trading Commission also sued Ms. Ellison, from 2019 to 2022, manipulated the price of FTT, a digital asset that FTX issued. Ellison then used FTX customer’s assets to repay Alameda’s debts, according to the complaint. The SEC said Ms. Mr. Wang and Ms.

Commission 203

Commission Assets Economics 203

Nerd's Eye View

JULY 5, 2024

Supreme Court decision shifting authority to interpret laws passed by Congress from Federal agencies to the judicial system could have significant impacts on regulation of the financial advice industry, including the potential for additional legal challenges to regulations from the Securities and Exchange Commission (SEC), the Department of Labor (DoL), (..)

Financial Planner 246

Financial Planner Retirement Commission Financial Advice 246

Truemind Capital

JANUARY 24, 2025

Too many products: If your portfolio has more than 20 products in varied proportions, then there is a high likelihood that your advisor is selling you new and new products that pay higher commissions than the existing ones. A balanced portfolio must have representation from at least the three major asset classes for weathering volatility.

Commission 59

Commission Wealth Management Portfolio Fee Only 59

Nerd's Eye View

DECEMBER 16, 2022

A recent survey suggests that Americans who use a financial advisor are less stressed than those who do not, but that the perceived price of advice is a deterrent to many (even those with significant assets).

Financial Planner 246

Financial Planner CFP Retirement Planning Financial Advisor 246

Nerd's Eye View

JANUARY 13, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Federal Trade Commission has proposed a nationwide ban on noncompete clauses in employee contracts, aiming to give employees more freedom to change jobs within the same industry.

Financial Planner 235

Financial Planner Retirement Planning Retirement Compliance 235

Nerd's Eye View

JULY 26, 2022

Amy is the owner of Rooted Planning Group, an independent RIA based in Corning, New York that oversees $67 million in assets under management for 175 client households. Welcome back to the 291st episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Amy Irvine.

Financial Planner 246

Financial Planner Management Planning Financial Advisor 246

Nerd's Eye View

DECEMBER 6, 2023

While commission-based models remain in use, fee-for-service models (including AUM, hourly, retainer, and subscription) have become increasingly popular. how they should invest their savings or why one particular asset is better suited for their specific circumstances than another), they will need to register as an investment adviser.

Investing 246

Investing Investments Retirement Planning Financial Advising 246

Nerd's Eye View

MAY 10, 2024

billion (thanks to expected reductions in commissions and the embedded costs in these annuities). could save retirement plan participants $55 billion over the next 10 years (due to an expectation of more low-cost fees being offered in plans) and those rolling over workplace plans into IRAs to purchase annuities another $32.5 Read More.

Financial Planner 246

Financial Planner Retirement Planning Retirement Valuation 246

Nerd's Eye View

AUGUST 6, 2024

billion in assets under management for approximately 900 client households. Jaime is the Managing Principal of Benedetti, Gucer, and Associates and BEAM Wealth Advisors, hybrid advisory firms based in Atlanta, Georgia, and Covington, Louisiana that oversee a total of $1.2

Commission 130

Commission Retirement Financial Advisor Recruitment 130

Nerd's Eye View

MAY 22, 2024

With these factors in mind, the Federal Trade Commission (FTC) in April of 2024 announced a final rule banning most non-competes nationwide that is expected to take effect (pending legal challenges) on September 4, 2024.

Financial Advice 245

Financial Advice Commission Clients Sales 245

Darrow Wealth Management

NOVEMBER 4, 2024

Advisors affiliated with a bank, broker dealer, or large asset manager might not be able to make a fully independent recommendation. Most fiduciaries don’t sell products: Most fiduciary advisors are only paid by a percentage of assets they manage for clients.

Financial Advisor 74

Financial Advisor Certified Financial Planner Fiduciary Duty Fee Only 74

Good Financial Cents

JANUARY 16, 2023

Access to wide array of alternative asset classes Access to ultra-wealthy investments Can invest for income or growth Learn More Now. Because the platform holds various assets – real estate , cryptocurrencies , artwork , and more – the average user holds about seven investments. Unique Asset Classes. Yieldstreet IRA.

Assets 94

Assets Investing Investments Accounting 94

Nerd's Eye View

NOVEMBER 28, 2022

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

Clients Fee Only Planning Advertising 246

Nerd's Eye View

NOVEMBER 28, 2022

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

Fee Only Portfolio Clients Planning 246

The Big Picture

SEPTEMBER 5, 2024

He explains the impact of free capital, the subtle shift from value to growth, away from hard assets and towards intellectual property. billion in fee only asset flows for the full year 2013; 37% of Morgan Stanley wealth management’s total client assets are now in fee based accounts a record high.

Wealth Management 227

Wealth Management Assets Fee Only Media 227

Validea

JANUARY 13, 2025

We analyze Buffett’s key principles including: His famous “circle of competence” concept and how it both helped and potentially limited him The evolution of his investing strategy from “cigar butt” value investing to quality businesses His views on margin of safety and how it varies based on business quality Why he believes (..)

Financial Planner 52

Financial Planner Commission Education Investing 52

MarketWatch

JUNE 6, 2023

Securities and Exchange Commission on Tuesday asked a judge to grant a temporary restraining order to freeze assets tied to Binance.US. The agency on Monday charged Binance Holdings Inc. and its founder Changpeng Zhao with 13 securities law violations. The suit alleged that Binance created U.S.-only fall under U.S.

Assets 75

Assets Commission Management Marketing 75

Trade Brains

JUNE 25, 2025

This signals deepening ties between digital assets and traditional finance. Thailand’s Securities and Exchange Commission took decisive action in late May. “The SEC advises all investors using these platforms to take necessary action regarding their assets before the shutdown date,” the agency warned.

Finance Expertise 59

Finance Expertise Compliance Commission Assets 59

Nerd's Eye View

SEPTEMBER 13, 2022

billion in assets managed by over 20 affiliated independent advisor businesses. My guest on today's podcast is Carolyn Armitage. Carolyn is the President of Thrivent Advisor Network, an RIA platform that offers partnership and affiliate models for financial advisors and oversees $6.5

Financial Advisor 229

Financial Advisor Financial Services Ethics Recruitment 229

Abnormal Returns

OCTOBER 25, 2022

dualmomentum.net) Which defensive assets perform best when the S&P is down? allocatesmartly.com) Commission rates have a big effect on retail trading behavior. (papers.ssrn.com) Why we need more impactful ESG data. institutionalinvestor.com) Research Why trade Bitcoin when you can trade the Nasdaq.

Commission 130

Commission Retail Portfolio Assets 130

The Big Picture

NOVEMBER 21, 2023

From staging to commission expenses, here’s what to expect. ( After returning $7B in profits to its LPs, Altimeter manages currently manages $10B in assets. Lots of baby boomers are going to sell their homes in the years ahead. The trick is to beat the crowd. The Week ) • The best place for product reviews is … Reddit?

Startup 246

Startup Commission Media Government 246

Validea

NOVEMBER 15, 2023

Falling Costs Zero Commissions and the Savings to Investors : The shift to zero commission trading by major brokerage firms has reduced the cost barrier for individual investors. Firms like Robinhood were embraced by millions of new investors, and the zero-commission trend is now the standard among major online brokerages in the U.S.

Commission 115

Commission Education Portfolio Assets 115

WiserAdvisor

JUNE 16, 2025

High-net-worth individuals are typically categorized as those with over $1 million in liquid assets. Securities and Exchange Commission (SEC), the thresholds may vary slightly — say a net worth of $1.5 million or $750,000 in investable assets to meet certain regulatory definitions. According to the U.S.

Wealth Management 59

Wealth Management Taxes Insurance Assets 59

MainStreet Financial Planning

MARCH 7, 2025

The two most common pricing models are fee-only financial planners (flat-fee or fixed-fee advisors) and AUM-based financial advisors (who charge a percentage of assets under management). Unlike AUM-based advisors, they do not earn commissions or take a percentage of your investments. Are There Any Benefits to AUM-Based Advisors?

Fee Only 52

Fee Only Financial Planner Financial Planning Estate Planning 52

MarketWatch

JUNE 29, 2023

Fidelity Digital Assets has filed an application for a spot bitcoin exchange traded fund, after its previous filing was rejected by the U.S. Securities and Exchange Commission in 2022. Fidelity’s latest move follows similar filings by BlackRock, Invesco, Wisdom Tree, Valkyrie, and Bitwise.

Commission 98

Commission Assets Marketing Marketing 98