Wealth Management

JUNE 12, 2025

Infrastructure includes communications, data centers, utilities, satellites, transportation and energy pipelines. Tyler Rosenlicht, a senior vice president at Cohen & Steers, said infrastructure and natural resources were two examples that illustrate where active management can add value.

130

130

Nerd's Eye View

JUNE 3, 2024

This month's edition kicks off with the news that 'startup' custodian Altruist has completed a $169 million fundraising round as it continues to rebuild the RIA custodial tech stack layer-by-layer while positioning itself as the biggest RIA custodian built from scratch and solely for advisors – which, while making it the clear #3 custodian behind (..)

Risk Tolerance 246

Risk Tolerance Communication Startup Financial Planning 246

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

Nerd's Eye View

NOVEMBER 7, 2022

Hearsay Systems rolls out a new small-to-mid-sized RIA platform for social media compliance and website design. Riskalyze signals an intent to rebrand itself away from ‘just’ risk tolerance assessments to a broader focus on helping advisors grow clients and assets.

Risk Tolerance 241

Risk Tolerance Startup Compliance Clients 241

Nerd's Eye View

APRIL 17, 2024

Compliance!), And while all may appear well on the surface – the client rarely contacts the advisor with problems but they show up for every annual meeting – they may actually be feeling quite disengaged with the financial planning services being provided. Prospecting! Onboarding!

Clients 246

Clients Financial Planning Planning Compliance 246

Nerd's Eye View

MAY 28, 2024

So, whether you're interested in learning about merging with a larger firm to achieve operational efficiencies, how to overcome the technical and emotional challenges of selling a firm, or how to develop better client communication skills, then we hope you enjoy this episode of the Financial Advisor Success podcast, with Jenny Martella.

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Nerd's Eye View

AUGUST 24, 2022

These include the acknowledgment that the adviser has provided required disclosure documents like Forms ADV Part 2A/B and Form CRS (and, importantly, has obtained consent to have those documents delivered electronically), acknowledgment of the client’s responsibilities to provide complete and accurate information needed by the adviser in a timely (..)

Electronics 242

Electronics Clients Retirement Planning Financial Advice 242

Nerd's Eye View

MAY 28, 2024

So, whether you're interested in learning about merging with a larger firm to achieve operational efficiencies, how to overcome the technical and emotional challenges of selling a firm, or how to develop better client communication skills, then we hope you enjoy this episode of the Financial Advisor Success podcast, with Jenny Martella.

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Nerd's Eye View

AUGUST 24, 2022

These include the acknowledgment that the adviser has provided required disclosure documents like Forms ADV Part 2A/B and Form CRS (and, importantly, has obtained consent to have those documents delivered electronically), acknowledgment of the client’s responsibilities to provide complete and accurate information needed by the adviser in a timely (..)

Electronics 238

Electronics Clients Retirement Planning Financial Advice 238

Nerd's Eye View

AUGUST 30, 2023

But in the financial advisory business, firms are typically less concerned about employees taking intellectual property (e.g., financial planning processes and other 'trade secrets') with them to a competitor and are more concerned about clients (and the revenue they bring in) following their (departing) advisor to their new firm.

Clients 246

Clients Communication Financial Planning Planning 246

Nerd's Eye View

JUNE 4, 2024

In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Nerd's Eye View

JUNE 4, 2024

In this episode, we talk in-depth about how Freeman used a customized spreadsheet to analyze the financials that ended up favoring operating as an independent RIA rather than under a broker-dealer’s grid and platform fees (in particular the ability to boost long-term profitability by paying expenses as a flat cost rather than as a percentage (..)

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

FMG

DECEMBER 22, 2022

As you’re based in Washington, how has the pandemic affected your business plan and the way you communicate with clients? What have you learned and changed about the way you communicate with clients if there have been changes? I couldn’t pass up on the one-click compliance!

Financial Advisor 52

Financial Advisor Compliance Clients Communication 52

Fortune Financial

SEPTEMBER 25, 2023

Certified Public Accountant (CPA) CPAs specialize in tax planning and accounting. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities. As your trusted advisors, we prioritize clear and transparent communication.

Wealth Management 59

Wealth Management Management Risk Tolerance Retirement Planning 59

Wealth Management

JUNE 11, 2025

Even the most meticulously crafted estate plans can unravel without clear communication, legal clarity, guidance and an understanding of the underlying family dynamics. Related: Tax Court Rules $2 Million Bequest to Spouse Isn’t QTIP To prevent this, advise your clients to discuss their estate plans early and openly.

Estate Planning 225

Estate Planning Planning Wealth Management Fiduciary Duty 225

Fortune Financial

SEPTEMBER 25, 2023

Certified Public Accountant (CPA) CPAs specialize in tax planning and accounting. Regulatory Compliance Ensure the wealth management firm is registered and compliant with relevant regulatory authorities. As your trusted advisors, we prioritize clear and transparent communication.

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Fortune Financial

MARCH 5, 2024

Regular contributions are vital, but so is ensuring the plan remains a good fit for your evolving business and workforce. This means staying informed about plan performance, fees and compliance requirements. Sustained Oversight: A successful 401k plan requires more than just initial enthusiasm.

Retirement Planning 52

Retirement Planning Retirement Financial Advisor Taxes 52

Sara Grillo

MAY 23, 2022

CODY GARRETT, CFP®: First of all, it’s kind of… Actually, if you think about compliance there, again, of course, I haven’t educated them to do those things, but if that’s happened, first of all, there’s not a… It actually takes the pressure off. No business plan, no. Yeah, okay.

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

Nerd's Eye View

JANUARY 27, 2025

Compliance is another consideration for advisors implementing automations, especially for client-facing communications like text messages and emails.

Management 208

Management Communication Compliance Clients 208

The Big Picture

MAY 16, 2023

And I’m like, dad, I found I need 25 grand to get going and my dad said send me a business plan. I went to business school RITHOLTZ: He just wanted you to go through the exercise. LINDZON: No, so obviously, I did the business plan, I’m kidding. I’m like, dude I’m your son. RITHOLTZ: Yes.

Media 290

Media Investments Investing Valuation 290