Abnormal Returns

NOVEMBER 7, 2022

standarddeviationspod.com) Compliance Jason Zweig, "In 30 years of writing about the financial-advice industry, I never learned that advisers can provide less-comprehensive disclosures than stockbrokers." wsj.com) Advisers are scrambling to get into compliance with new advertising rules. thinkadvisor.com).

Compliance 279

Compliance Wealth Management Advertising Financial Advice 279

Abnormal Returns

OCTOBER 16, 2023

Podcasts Brendan Frazier talks with Meghaan Lurtz about re-engaging with existing clients. wiredplanning.com) Daniel Crosby talks with Matt Reiner partner at Capital Investment Advisors about the future of financial advice. riabiz.com) Compliance Compliance is one of the biggest concerns of advisers.

Compliance 262

Compliance Financial Planner Financial Advice Investment Advisor 262

Wealth Management

JULY 2, 2025

At Wealth Management EDGE , I had the privilege of moderating a panel— “Work Smarter, Not Harder: AI’s Role in Operational Excellence” —where we talked about how artificial intelligence is already automating advisor workflows, transforming client meetings into structured insights, and reshaping the nature of operational roles within firms.

Wealth Management 179

Wealth Management Estate Planning Planning Clients 179

Nerd's Eye View

SEPTEMBER 13, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.

Financial Planner 246

Financial Planner Compliance Fee Only Communication 246

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 183

Compliance Financial Advice Management Financial Advisor 183

Nerd's Eye View

NOVEMBER 6, 2023

This month's edition kicks off with the news that Practice Intel has launched a new "growth platform" centered around quantifying the quality of an advisor's client relationships with an all-in "Relationship Quality Index" (RQI) – which while potentially valuable in helping advisors understand and improve their client experience (and subsequently (..)

Compliance 246

Compliance Valuation Clients Financial Advisor 246

Nerd's Eye View

JULY 14, 2023

Read More.

Financial Planner 246

Financial Planner Compliance Media Retirement 246

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

BlueMind

JULY 15, 2022

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market.

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Abnormal Returns

OCTOBER 23, 2023

Podcasts Daniel Crosby talks with Saundra Davis on how to effectively meet clients where they are. riabiz.com) AI Is AI an existential threat to the business of financial advice? investmentnews.com) Compliance How to conduct and document an annual compliance review.

Compliance 162

Compliance Estate Planning Financial Advice Financial Planning 162

Nerd's Eye View

JULY 8, 2024

Additionally, the upcoming Kitces Value Summit, coming December 12 , 2024, will tackle how real advisors provide and communicate their ongoing value to their clients. Additionally, the upcoming Kitces Value Summit, coming December 12 , 2024, will tackle how real advisors provide and communicate their ongoing value to their clients.

Ethics 239

Ethics Education Financial Advice Communication 239

Abnormal Returns

MARCH 6, 2023

Podcasts Christine Benz and Jeff Ptak talk with Stacy Francis who is president and CEO of Francis Financial about working with female clients. morningstar.com) Brendan Frazier talks with Ted Klontz about how to better motivate, communicate and connect with clients and prospects.

Compliance 147

Compliance Wealth Management CFP Financial Advice 147

Nerd's Eye View

MAY 22, 2024

Which could make it more advantageous for firms and advisors alike to consider a more equitable, cooperative approach than strict on-competes or non-solicits to deciding which clients an advisor can solicit if they do eventually leave the 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. Because ultimately, it's better to be surrounded by others who take care in advising their clients than to be the only one doing so!

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investments Investing 245

Nerd's Eye View

AUGUST 24, 2022

Advisory agreements for Registered Investment Advisers (RIAs) contain many sections that are important both for the purposes of complying with SEC and state securities regulations, and for constituting a valid agreement between the RIA and the client. The agreement should also lay out some acknowledgments for the client to review.

Electronics 242

Electronics Clients Retirement Planning Financial Advice 242

Midstream Marketing

OCTOBER 30, 2024

Key Highlights The financial advice world is changing. A strong brand identity is key to getting and keeping clients in this tough market. Websites, social media, and SEO offer great opportunities to connect with new clients online. They also need to find the best ways to connect with potential clients successfully.

Investment Advisor 52

Investment Advisor Investments Investing Ethics 52

Nerd's Eye View

AUGUST 24, 2022

Advisory agreements for Registered Investment Advisers (RIAs) contain many sections that are important both for the purposes of complying with SEC and state securities regulations, and for constituting a valid agreement between the RIA and the client. The agreement should also lay out some acknowledgments for the client to review.

Electronics 238

Electronics Clients Retirement Planning Financial Advice 238

Nerd's Eye View

DECEMBER 6, 2023

Thus, Advice, Business, Compensation, and Securities (ABCS) are the key elements in this definition. But once a financial coach addresses specific questions from clients around actual securities (e.g., Read More.

Investments 246

Investments Investing Retirement Planning Financial Advising 246

Nerd's Eye View

JANUARY 17, 2024

While it could be decades before we know those answers, at the moment, professionals across every industry, including financial advice, are working to learn how they can leverage this new and remarkable tool to make their practices more efficient.

Financial Advice 130

Financial Advice Financial Planning Clients Planning 130

Abnormal Returns

MAY 22, 2023

thereformedbroker.com) AI How financial advisers can leverage ChatGPT. kitces.com) How will AIs that dispense financial advice be regulated? riaintel.com) CI Wealth The stock market did not react well to CI Financial's financial engineering. Come meet the team in Austin on June 12-14th.

Financial Advising 130

Financial Advising Estate Planning Wealth Management Compliance 130

Midstream Marketing

DECEMBER 6, 2024

Explore how to reach potential clients by using educational content and CRM systems. It helps them connect with clients and grow their business. You will find tips to improve your online presence, attract more clients, and create successful campaigns. Clients now want financial advice online.

Marketing 52

Marketing Marketing Media Engineering 52

Midstream Marketing

DECEMBER 10, 2024

Key Highlights We will discuss how to build a strong brand identity and use referrals to attract clients. Learn how to tailor your messages for different clients. Introduction In todays challenging market, financial advisors need strong financial advisor marketing strategies. They must attract potential clients attention.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Midstream Marketing

NOVEMBER 6, 2024

Key Highlights Content marketing helps financial advisors stand out and earn trust from potential clients. When advisors share valuable content for a specific target audience, they can attract new clients and boost their online presence. Content marketing is a great strategic approach to find potential clients.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

Million Dollar Round Table (MDRT)

JULY 23, 2024

We had little chance to adjust to the new world of financial advice in Australia. For example, some of the new regulations require financial advisors to limit their clients to 300 households, charge fees, meet certain educational requirements and pass a five-hour national exam.

Financial Advice 103

Financial Advice Financial Advisor Education Clients 103

Indigo Marketing Agency

SEPTEMBER 6, 2022

In a deep dive with Indigo founder Claire Akin, Veres discusses how we use our Testimonial Program to collect and post client testimonials for financial advisors in a regulatory, compliant way. . Why Are Testimonials Important for Financial Advisors? The same is true for financial advice. That’s where we come in.

Marketing 97

Marketing Marketing Financial Advisor Compliance 97

Midstream Marketing

NOVEMBER 5, 2024

Key Highlights A strong presence on social media can help financial advisors meet potential clients and boost brand awareness. Explore different social media platforms that financial advisors can use, like LinkedIn, Twitter, Instagram, and Facebook. Many potential clients look online for information.

Media 52

Media Financial Advisor Marketing Marketing 52

XY Planning Network

JULY 8, 2024

The rise of new tools, such as the Elements Financial Vitals System and AssetMap, aims to move from complex, comprehensive projections to more digestible summaries that facilitate great client conversations. Which financial planning software best meets your needs and resonates with your clients? Let's take a look!

Financial Planning 115

Financial Planning Planning Financial Advice Clients 115

Sara Grillo

APRIL 19, 2024

But before we get into it… Look, there are alot of schmucks out there hawking crap products disguised as financial advice. I’m not a lawyer – so please don’t interpret anything I say here as legal advice. Do your own diligence when you are seeking financial advice. Don’t be fooled!

Financial Advisor 97

Financial Advisor Financial Advice Accounting Clients 97

Sara Grillo

DECEMBER 16, 2024

Instead of trying to pitch lower fund fees or compliance, strike them in the heart. Do you think it would be the best thing for your business if Sheila who answers the phone of the trucking company, and who all your clients know by name, if she were still there in five months from now? Business owner, do you care about your employees?

Financial Advisor 52

Financial Advisor Retirement Planning Planning Consulting 52

Sara Grillo

OCTOBER 21, 2022

Fee-only advisor – This is an advisor that does not charge commissions and hence is believed to be more aligned with the client’s best interests. What is a financial paraplanner? The job responsibilities may be back-office or client-facing, depending on the scope of the paraplanner’s work. Thanks for reading.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Indigo Marketing Agency

OCTOBER 10, 2023

Most financial advisors already know the importance of using valuable content to reach more clients. But if you’re anything like the professionals we work with, you’re probably curious about whether clients will notice the difference between canned content and custom content. We’ll bet you can picture them right now.

Compliance 59

Compliance Financial Advisor Clients Financial Advice 59

Sara Grillo

OCTOBER 31, 2022

The Form ADV Part I provides basic business detail about things such as ownership, clients, employees, etc. Disclosures can be about if they have committed a crime, whether financial or not. Many times you will even see client dispute disclosures, where they may have sold a client a product that wasn’t presented properly, for example.

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

Harness Wealth

SEPTEMBER 3, 2024

FOR IMMEDIATE RELEASE NEW YORK, NY — September 3, 2024: Harness , a New York-based fintech startup that seeks to make bespoke tax & financial advice accessible to more households, is excited to announce the appointment of Will Bressman to its Board of Directors.

Financial Advice 52

Financial Advice Financial Services Startup Compliance 52

Indigo Marketing Agency

DECEMBER 30, 2021

But as an advisor, how do you effectively use the new testimonial rule in your marketing without running into compliance issues? We’re excited to announce that Indigo is now offering a Testimonial Program to help advisors get glowing client reviews online—all while remaining compliant. The same is true for financial advice.

Financial Advisor 52

Financial Advisor Compliance Clients Accounting 52

Indigo Marketing Agency

MAY 4, 2022

But as an advisor, how do you effectively use the new testimonial rule in your marketing without running into compliance issues? We’re excited to announce that Indigo is now offering a Testimonial Program to help advisors get glowing client reviews online—all while remaining compliant. The same is true for financial advice.

Compliance 52

Compliance Clients Financial Advisor Accounting 52

Steve Sanduski

OCTOBER 24, 2023

But there’s a fruitful middle ground between AI’s future potential and current limitations where advisors can find practical ways to streamline processes and focus more of their time on the human side of financial advice. Ethical and compliance challenges advisors need to address as they add AI to their workflows.

Ethics 59

Ethics Wealth Management Compliance Financial Advice 59

Carson Wealth

JULY 12, 2022

Translating from the secret language of financial planning, the sentence would read “Tammy specializes in insurance. She reviewed two types of annuity contracts often used for retirement and helped determine which one is the best fit for her client.” . Registration Standards for Financial Advisors.

Financial Advising 98

Financial Advising Financial Planning Ethics Financial Services 98