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The Latest In Financial #AdvisorTech (October 2022)

Nerd's Eye View

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.

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#FA Success Ep 298: Navigating The Evolution From Broker-Dealer To RIA Platform Leadership, With Carolyn Armitage

Nerd's Eye View

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

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Key Trends and Concerns for Investors in 2025

WiserAdvisor

Analysts expect ESG assets to soar to between $35 and $50 trillion by 2030. ESG companies focus on a range of things, such as reducing carbon emissions, cutting plastic waste, treating employees fairly, ensuring gender equality, and prioritizing ethical governance. As of the end of 2024, the U.S. trillion, according to the U.S.

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2025 Wealth Preservation Strategies

WiserAdvisor

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.

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Examples of great things ethical financial advisors really like to do!

Envision Wealth Planning

Ethical financial advisors are on the rise and are now doing things within their businesses with the hope to serve as an example of the right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. You’ll have to do your own research to determine if these advisors really are ethical.

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Here are some examples of things Ethical Financial Advisors do

Sara Grillo

So here’s a blog about some things that ethical financial advisors do in the hopes they will serve as an example of right behavior for the rest of the industry to follow. Ethics matter in financial advice! Ethics matter. The following case studies serve as examples of ethical actions taken by financial advisors.

Ethics 52
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How to sniff out a lying grifter in a Form ADV

Sara Grillo

Any financial advisor who is registered as an advisor with a regulator has to fill out this form for initial approval by either a state or a Federal (the United States Securities and Exchange Commission) regulator. If the person is an insurance agent or solely a broker selling commission-based products, they will not have to file a Form ADV.