Wealth Management

JUNE 10, 2025

RIA SilverStar Wealth moves from being a Kestra-affiliated firm to being part of Bluespring’s Texas-based LifeBridge Financial Group. According to a spokesperson, his firm will continue operating under its name for the foreseeable future, but will eventually change to LifeBridge Financial Group. Number 8860726.

Wealth Management 178

Wealth Management Engineering Estate Planning Management 178

Wealth Management

JUNE 10, 2025

However, the most fulfilled advisors we work with are those who regularly reconnect with their “why.” Related: The Diamond Podcast for Financial Advisors: What It Takes to Become a Multi-Million-Dollar Producer • Have I defined what success looks like, and am I moving toward it? Number 8860726.

Wealth Management 146

Wealth Management Financial Advisor Management Recruitment 146

Wealth Management

JUNE 11, 2025

In between all the fun and games, the likes of Focus Financial CEO Michael Nathanson, Rise Growth Partners founder Joe Duran, TradePMR President and CEO Robb Baldwin and others took the stage in front of an audience of 1,600 attendees, including 1,000 financial advisors, at The Boca Raton resort in Boca Raton, Fla.

Wealth Management 130

Wealth Management Management Financial Advisor Business Planning 130

Wealth Management

JUNE 11, 2025

Ratner is a commentator on life insurance and estate planning based in Cleveland, Ohio. Number 8860726. See more from Charles L.

Wealth Management 164

Wealth Management Insurance Estate Planning Clients 164

Wealth Management

JUNE 10, 2025

With over two decades of distinguished business journalism experience, including 10 years at Forbes magazine, Armstrong brings unparalleled expertise to the wealth management industry. Number 8860726.

Wealth Management 146

Wealth Management Marketing Marketing Tax Planning 146

Nerd's Eye View

NOVEMBER 22, 2023

For all of the myriad ways financial advisors can structure and run their practices, firm owners generally encounter similar stages in the development of their firms.

Compliance 246

Compliance Sales Financial Advisor Financial Planning 246

Nerd's Eye View

JULY 31, 2024

For SEC-registered financial advisors, the prospect of an upcoming examination by the SEC can be a source of high anxiety.

Compliance 246

Compliance Ethics Advertising Clients 246

Nerd's Eye View

FEBRUARY 1, 2023

Financial advisors who pay third parties to solicit or refer prospective clients to generate new business have historically been subject to the SEC’s Cash Solicitation Rule.

Advertising 242

Advertising Compliance Marketing Marketing 242

Nerd's Eye View

FEBRUARY 17, 2025

In order to deliver the best service to their clients, financial advisors often take on responsibilities beyond giving financial advice, including compliance, marketing, team management, and other operational duties.

Compliance 182

Compliance Financial Advice Management Financial Advisor 182

Nerd's Eye View

NOVEMBER 6, 2023

Welcome to the November 2023 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!

Compliance 246

Compliance Valuation Financial Advisor Clients 246

Nerd's Eye View

JUNE 17, 2024

Nonetheless, fewer than 10% of SEC-registered investment advisers report using them, even though the SEC’s updated investment adviser marketing rule allows financial advisors to proactively encourage testimonials (from clients), use endorsements (from non-clients), and highlight their own ratings on various third-party review sites.

Financial Advising 246

Financial Advising Compliance Advertising Marketing 246

Nerd's Eye View

JULY 12, 2022

Welcome back to the 289th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Kamila Elliott. 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.

Financial Advisor 246

Financial Advisor CFP Clients Financial Planning 246

Nerd's Eye View

JUNE 6, 2023

Welcome back to the 336th episode of the Financial Advisor Success Podcast ! 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

Assets 246

Assets Financial Advisor Financial Planning Insurance 246

Nerd's Eye View

OCTOBER 30, 2024

As fiduciaries, financial advisors are required to disclose any conflicts of interest that exist between themselves and their current and potential clients.

Advertising 246

Advertising Commission Marketing Marketing 246

Nerd's Eye View

MARCH 6, 2023

Welcome to the March 2023 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!

Compliance 246

Compliance Financial Planning Planning Clients 246

Nerd's Eye View

JULY 31, 2024

For SEC-registered financial advisors, the prospect of an upcoming examination by the SEC can be a source of high anxiety.

Compliance 189

Compliance Ethics Advertising Clients 189

Nerd's Eye View

JANUARY 30, 2024

Welcome back to the 370th episode of the Financial Advisor Success podcast ! My guest on today's podcast is Tim Goodwin. Tim is the founder of Goodwin Investment Advisory, an RIA based in Woodstock, Georgia, that oversees $275M in assets under management for 370 client households.

Financial Advisor 246

Financial Advisor Clients Compliance Engineering 246

Nerd's Eye View

APRIL 22, 2024

Broadly speaking, there are 2 models of working as a financial advisor: operating independently as a firm owner or with a large affiliate platform such as a wirehouse broker-dealer, independent broker-dealer, or larger corporate RIA. Deciding which model to work under is a key moment in beginning or evolving a career as an advisor.

Compliance 246

Compliance Clients Financial Advisor Numbers 246

Nerd's Eye View

MAY 2, 2023

Welcome back to the 331st episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jake Northrup. Jake is the Founder of Experience Your Wealth, an independent RIA based in Bristol, Rhode Island, that advises 78 client households with a 3-person team supporting more than $550,000 of ongoing revenue.

Financial Advisor 246

Financial Advisor Financial Planning Clients Planning 246

Nerd's Eye View

AUGUST 7, 2023

Welcome to the August 2023 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, underlying trends, and developments that are emerging in the world of technology solutions for financial advisors!

Estate Planning 246

Estate Planning Wealth Management Financial Advisor Planning 246

Nerd's Eye View

SEPTEMBER 26, 2023

Welcome back to the 352nd episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Bridget Venus Grimes. Read More.

Financial Planning 246

Financial Planning Financial Advisor Clients Planning 246

Nerd's Eye View

MARCH 13, 2023

However, the reality is that it’s very expensive to build and maintain technology, especially when considering the full range of CRM, portfolio management, financial planning, and more than a dozen other sub-categories of technology that financial advisors use in their firms.

Compliance 245

Compliance Portfolio Management Planning Financial Advisor 245

XY Planning Network

JUNE 5, 2023

We rounded up some of XYPN's best resources for advisors who want to launch their own financial planning firms. From tackling compliance to creating a business plan and everything in between, this roundup of resources will set you up for firm launch success.

Financial Advisor 90

Financial Advisor Compliance Financial Planning Business Planning 90

Nerd's Eye View

NOVEMBER 7, 2022

Welcome to the November 2022 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!

Risk Tolerance 241

Risk Tolerance Startup Compliance Clients 241

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 Compliance Clients 246

Nerd's Eye View

JUNE 3, 2024

Welcome to the June 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!

Risk Tolerance 246

Risk Tolerance Communication Startup Financial Planning 246

Nerd's Eye View

JUNE 5, 2023

Welcome to the June 2023 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!

Risk Tolerance 245

Risk Tolerance Retirement License Retirement Planning 245

Nerd's Eye View

FEBRUARY 14, 2023

Welcome back to the 320th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Jim Dickson. Jim is the CEO and Founder of Sanctuary Wealth, an RIA platform with 80 partner firms in 29 states that collectively oversee nearly $25 billion in assets under management. Read More.

Compliance 130

Compliance Financial Advisor Clients Management 130

Wealth Management

JUNE 12, 2025

Related: Ten Beach Reads Featuring Financial Advisors You can do nothing about the rigged system, but you can spend much less time creating a college-tour itinerary for free. Number 8860726. To do this, use your favorite personal AI assistant, whether it’s Google Gemini, Chat GPT or something else.

Wealth Management 130

Wealth Management Financial Planning Planning Financial Advisor 130

Nerd's Eye View

MAY 28, 2024

Welcome to the 387th episode of the Financial Advisor Success Podcast ! Welcome everyone! My guest on today's podcast is Jenny Martella. Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5 Read More.

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Nerd's Eye View

NOVEMBER 1, 2022

Welcome back to the 305th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Mindy Crary. Read More.

Fee Only 130

Fee Only Clients Financial Planning Financial Advisor 130

Nerd's Eye View

MAY 28, 2024

Welcome to the 387th episode of the Financial Advisor Success Podcast ! Welcome everyone! My guest on today's podcast is Jenny Martella. Jenny is a Principal and Wealth Manager at Modera Wealth Management, an RIA based in Westwood, New Jersey, that oversees $12.5 Click the icon below to listen.

Wealth Management 130

Wealth Management Financial Advisor Fee Only Communication 130

Nerd's Eye View

JUNE 4, 2024

Welcome to the 388th episode of the Financial Advisor Success Podcast ! Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. Welcome everyone! Read More.

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

Nerd's Eye View

JUNE 4, 2024

Welcome to the 388th episode of the Financial Advisor Success Podcast ! Freeman is the Co-Founder of La Crosse Financial Planning, an RIA based in La Crosse, Wisconsin, that oversees nearly $50 million in assets under management (AUM) for 73 client households. Welcome everyone! Read More.

Fee Only 130

Fee Only Financial Advisor Clients Estate Planning 130

XY Planning Network

JUNE 5, 2023

We rounded up some of XYPN's best resources for advisors who want to launch their own financial planning firms. From tackling compliance to creating a business plan and everything in between, this roundup of resources will set you up for firm launch success.

Financial Advisor 52

Financial Advisor Compliance Financial Planning Business Planning 52

Nerd's Eye View

MAY 22, 2024

This latter exemption means that financial advisors with an ownership interest in their company (even a very small one) could still be subject to a non-compete as a term of the sale of their stake (which could impact how they value receiving an ownership interest in their firm).

Financial Advice 246

Financial Advice Commission Clients Sales 246

Nerd's Eye View

JUNE 12, 2024

Financial advisors, as professionals whose clients rely on their advice to make financial decisions, are legally and financially responsible for the advice that they give.

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investments Investing 245