Nerd's Eye View

AUGUST 28, 2024

For advisors who want to advise on clients' 401(k) plan assets but who can't manage them directly, there have generally been 2 options. And yet the fact remains that technology like Pontera may still be preferable to the alternatives that exist for advisors to advise on and manage clients' 401(k) assets (e.g., Read More.

Assets 245

Assets Management Compliance Retirement Planning 245

Wealth Management

OCTOBER 21, 2024

According to the SEC division’s exam priorities, Reg BI compliance and the use of crypto assets are other areas of focus for the upcoming year.

Compliance 312

Compliance Assets 312

Wealth Management

MAY 20, 2023

Preliminary results from a targeted exam indicated communications related to crypto asset securities products and services had four times the non-compliance rate of other kinds of products.

Communication 306

Communication Compliance Assets 306

Nerd's Eye View

JANUARY 3, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with a recent survey indicating that a majority of advisors are viewing new client acquisition as their primary challenge in the current competitive environment for financial advice (followed by compliance and technology management) and suggests (..)

Financial Planner 246

Financial Planner Retirement Planning Financial Advice Financial Advisor 246

Nerd's Eye View

JUNE 6, 2023

Adam is a principal with RubinGoldman and Associates, and the Founder and CEO of Asset-Map, a financial planning tool that helps financial advisors create a visual representation of their clients’ financial situation, reaching over 1.25 Welcome back to the 336th episode of the Financial Advisor Success Podcast ! million users.

Assets 246

Assets Financial Advisor Financial Planning Insurance 246

Carson Wealth

FEBRUARY 4, 2025

Understanding Tax Compliance and Risk Management Ultra-high-net-worth individuals face unique tax challenges, including high rates and ever-changing complex tax codes. While most taxpayers dont need to worry about estate and gift taxes, having significant assets can make them a challenge. And, if the U.S.

Risk Management 52

Risk Management Compliance Taxes Management 52

Wealth Management

JUNE 17, 2025

Mariner is seeking to bolster its independent registered investment advisor channel by hiring Rob Sandrew to oversee the division, which includes more than 1,100 advisors and about $40 billion in client assets. Sandrew joined the RIA in 2016 and helped it grow from about $3 billion in client assets to more than $21 billion.

Wealth Management 156

Wealth Management Estate Planning Compliance Management 156

Nerd's Eye View

JULY 31, 2024

Even firms with robust compliance programs that do a good job following their required policies and procedures can struggle with examinations if they don't have the information that examiners will ask for readily available.

Compliance 246

Compliance Ethics Advertising Clients 246

Nerd's Eye View

NOVEMBER 22, 2023

At that point, the definitive transaction documents are drafted, providing details around items such as equity and/or asset purchase agreements, a possible promissory note, and a bill of sale.

Compliance 246

Compliance Sales Financial Planning Financial Advisor 246

Nerd's Eye View

MAY 2, 2025

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!

Financial Planner 179

Financial Planner CFP Financial Advisor Retirement 179

The Big Picture

MAY 20, 2023

The firm manages about $145 billion in client assets and is the world’s largest publicly traded hedge fund. Previously she was COO, General Counsel, Chief Administrative Officer, and Global Head of Legal and Compliance. Before joining the firm in 2010 as Chief Compliance Officer for Man GLG, Robyn held Sr.

Compliance 312

Compliance Communication Government Banking 312

Nerd's Eye View

JUNE 18, 2025

Historically, tax-related services within advisory firms were primarily focused on investment strategies, like using ETFs for their tax efficiency or implementing asset location and tax-loss harvesting strategies to boost after-tax returns.

Taxes 146

Taxes Tax Planning Communication Planning 146

Carson Wealth

MAY 7, 2025

They are essentially dedicated accounts into which you, and other donors as well, can place cash, stocks, or non-publicly traded assets that are eligible for an immediate tax deduction. You can fund a private foundation with a broad variety of asset types, and as a donor, you have control over the investment and granting decisions.

Compliance 52

Compliance Distribution Taxes Consulting 52

The Big Picture

APRIL 15, 2023

 This week, we speak with Joseph Baratta , who since 2012, has served as Global Head of Private Equity at Blackstone – the world’s largest alternative asset manager, with $975 billion in assets under management. From Strength to Strength: Finding Success, Happiness, and Deep Purpose in the Second Half of Life by Arthur C.

Consulting 284

Consulting Compliance Assets Management 284

Nerd's Eye View

JULY 31, 2024

Even firms with robust compliance programs that do a good job following their required policies and procedures can struggle with examinations if they don't have the information that examiners will ask for readily available.

Compliance 189

Compliance Ethics Advertising Clients 189

Wealth Management

FEBRUARY 7, 2025

More choice in remotely managing heldaway retirement assets, Orion announces numerous updates at annual conference, Smarsh acquires audio compliance vendor.

Compliance 185

Compliance Retirement Assets Management 185

Wealth Management

JUNE 10, 2025

Number 8860726.

Wealth Management 232

Wealth Management Management Estate Planning Business Planning 232

The Big Picture

AUGUST 26, 2022

Our previous discussions (debates really) were over the traditional model of brokerage I push back against versus the fee-based fiduciary asset management I embrace. This made me chuckle, as we had discussed this level of unsuitable and inappropriate asset management for years, with me offering an endless parade of examples.

Accounting 353

Accounting Government Assets Management 353

Nerd's Eye View

JUNE 17, 2024

Which suggests that advisers have an opportunity to leverage the power of online reviews, which can act as "evergreen referrals" and drive more prospects to seek out the firm’s services, all while adhering to their firm’s compliance requirements. Read More.

Financial Advising 246

Financial Advising Compliance Advertising Marketing 246

Wealth Management

JUNE 10, 2025

Austin-based Kestra oversees about $142 billion in client assets through its companies, including independent broker/dealer Kestra FInancial, through 1,800 advisors, according to its websites. Number 8860726. Bluespring made a similar move in March 2024 to merge two firms into a $1.4

Wealth Management 167

Wealth Management Engineering Estate Planning Management 167

Abnormal Returns

JULY 17, 2023

standarddeviationspod.com) Charles Schwab Charles Schwab ($SCHW) clients with $1 million in assets now are automatically enrolled in one of its private wealth management programs. advisorperspectives.com) Think twice, compliance-wise, before jumping onto Threads. riabiz.com) Should advisers care about Schwab's expanded HNW services?

Wealth Management 246

Wealth Management Compliance Engineering Clients 246

Nerd's Eye View

NOVEMBER 6, 2023

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: FinanceHQ has launched as a new digital lead generation platform for financial advisors, which takes a more niche-focused approach to matching prospective clients with advisors – representing a bet that capturing prospects (..)

Compliance 246

Compliance Valuation Clients Financial Advisor 246

Nerd's Eye View

JULY 26, 2024

The study also identified attributes of "top performing" firms across a range of metrics, finding that they are more likely than other firms to have a clear ideal client persona, client value proposition, and marketing plan.

Financial Planner 246

Financial Planner Retirement Communication Financial Advisor 246

Nerd's Eye View

MARCH 6, 2023

Which at best will still be a substantial uphill battle, given the hassle of switching from one financial planning platform to another (and the fact that most advisors are generally satisfied with their current financial planning software in the first place!).

Compliance 246

Compliance Financial Planning Planning Clients 246

Nerd's Eye View

DECEMBER 4, 2024

For firms with high-net-worth clientele, one way to do this is to offer alternative investments, such as private equity, private debt, or hedge funds, which may offer clients the ability to invest in a more diverse range of assets.

Clients 225

Clients Financial Advice Investing Investments 225

Nerd's Eye View

JULY 25, 2023

billion in assets under advisement. Rita is the Founder and President of Affiliated Advisors, a Super-OSJ with Royal Alliance that provides support to 90 financial advisors and collectively oversees $3.5

Financial Advisor 246

Financial Advisor Compliance Recruitment Insurance 246

Nerd's Eye View

FEBRUARY 17, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC is proposing to expand the adviser custody rule beyond securities and funds to cover all assets in a client’s portfolio, including private securities, real estate, derivatives, and cryptoassets.

Financial Planner 246

Financial Planner Fiduciary Duty Retirement Planning Compliance 246

Nerd's Eye View

MAY 5, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that the House Financial Services Committee unanimously passed a bill that would direct the SEC to conduct a study and carry out a rulemaking on the definition of a "small entity" to reduce the compliance burden on small businesses, (..)

Financial Planner 246

Financial Planner Financial Services Electronics Compliance 246

Wealth Management

JUNE 10, 2025

Reassess Your Team’s Role Your team is one of your most critical assets—and often one of the most overlooked areas in a mid-year evaluation. Number 8860726. Is your brand aligned with the clients you want to attract?

Wealth Management 135

Wealth Management Financial Advisor Management Recruitment 135

Nerd's Eye View

JANUARY 13, 2023

Also in industry news this week: A study suggests that simplification is the top reason consumers combine their investment accounts, signaling that the onboarding process for new advisory client assets is a value-add in itself.

Financial Planner 241

Financial Planner Retirement Planning Retirement Compliance 241

Wealth Management

FEBRUARY 7, 2025

More choice in remotely managing heldaway retirement assets, Orion announces numerous updates at annual conference, Smarsh acquires audio compliance vendor.

Compliance 130

Compliance Retirement Assets Management 130

Nerd's Eye View

JANUARY 26, 2024

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 (..)

Financial Planner 246

Financial Planner Retirement Planning Financial Advisor Retirement 246

Truemind Capital

FEBRUARY 16, 2024

We being a SEBI-regulated entity very well understand the importance of regulatory compliance. There is no denying that following the compliances is time-consuming, expensive, and hinders growth. Even we at Truemind crib sometimes that how much time and costs we have to spend on compliance.

Compliance 59

Compliance Financial Services Valuation Economics 59

Nerd's Eye View

SEPTEMBER 6, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the Treasury Department has finalized rules requiring most SEC-registered RIAs to implement risk-based Anti-Money Laundering and Countering the Financing of Terrorism programs, including a requirement to report suspicious (..)

Financial Planner 246

Financial Planner Tax Planning Compliance Financial Advice 246

Abnormal Returns

OCTOBER 23, 2023

investmentnews.com) Compliance How to conduct and document an annual compliance review. kitces.com) The SEC's examination priorities for 2024 include the marketing rule and alternative assets. (advisorperspectives.com) Vanilla is rolling out more AI tools for estate planning.

Compliance 157

Compliance Estate Planning Financial Advice Financial Planning 157

Nerd's Eye View

JULY 12, 2022

Kamila is the CEO and Founder of Collective Wealth Partners, an independent RIA based in Atlanta, Georgia, that oversees nearly $25 million in assets under management for almost 175 client households. My guest on today's podcast is Kamila Elliott.

Financial Advisor 246

Financial Advisor CFP Clients Financial Planning 246

Nerd's Eye View

JANUARY 1, 2024

Welcome to the January 2024 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, and underlying trends and developments that are emerging in the world of technology solutions for financial advisors!

Retirement Planning 246

Retirement Planning Startup Clients Compliance 246