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When a financialadvisor transitions from one firm to another, they're often offered incentives by the new firm based on how much client revenue they bring with them. The challenge, however, is that advisors generally don't have the legal authority to simply transfer clients to a new firm.
Welcome to the 416th episode of the FinancialAdvisor Success Podcast ! Fran is the CEO of Toler Financial Group, an RIA based in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households. Welcome everyone! My guest on today's podcast is Fran Toler.
The Diamond Podcast for FinancialAdvisors: 10 Ways Top Advisors Are Growing Their Businesses The Diamond Podcast for FinancialAdvisors: 10 Ways Top Advisors Are Growing Their Businesses A “Top 10” list of firm-level innovations and grassroots methodologies from some of the most successful advisors, teams and firms in the business.
Welcome to the 409th episode of the FinancialAdvisor Success Podcast ! Travis is the founder of Student Loan Planner, an RIA and student loan consulting company based in Chapel Hill, North Carolina that serves nearly 1,400 households with ongoing financial planning (as well as consulting with over 15,000 clients on student loan debt).
As a result, financialadvisors should start honing the services Gen X members will likely benefit from the most, including retirement planning, estate and tax planning and mortgage refinancing. They also make up the second biggest client base for financialadvisors after baby boomers. Number 8860726.
Mason received a 97-month prison sentence for defrauding clients of over $17 million. Mason, a former advisor who was barred from the industry, was sentenced to 97 months in prison and three years of supervised release for defrauding at least 13 advisory clients out of more than $17 million, according to the Department of Justice.
And with the advent of AI in particular, questions have emerged about whether technology will replace many human jobs, including financialadvisors. For which industry-specific providers are building the entire advisor-CRM-integrated workflow. Yet now, two years later, AI has not driven a mass wave of unemployment.
Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all Margaret Jarocki EP Wealth Career Moves $32.6B billion in client assets to its independent advisor channel.
Almost every financial planning issue – whether it is retirement, investments, cash flow, insurance, or estate planning – has tax considerations, and advisors provide a great deal of value in helping clients minimize their overall tax burden.
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 (..)
Getting advisors on board with building a social media presence will help leverage authenticity, grow thought leadership, ensure compliance and get to know clients on a new level.
5 Compliance Tips From a FinancialAdvisor Marketing Consultant Whether you’re creating a new website , publishing a blog post , or sharing content on social media, a financialadvisor marketing consultant will tell you that compliance should always be top-of-mind. Build a compliance policy.
Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all Marc Schechter RIA Q&A: What Was Behind Schechter’s Decision to Sell to Arax? Number 8860726.
This robust capability will provide independent advisors seamless access to the most trusted institutional funds, enhancing both advisor and client investment optionality,” Jalina Kerr, head of advisor experience for Schwab Advisor Services, said in a statement.
In recent years, financialadvisors have increasingly embraced tax planning as a core element of delivering value to clients. Tax planning may involve discussing general tax rules, modeling hypothetical scenarios, or analyzing the tax impact of strategies for the client – without actually making concrete recommendations.
They showed a slight preference for ETFs or trusts, with 28% of respondents citing them, followed closely by traditional brokerage platforms (24%), centralized exchanges (21%), custodial investment platforms accessible through their financialadvisors for digital asset investment (16%) and decentralized exchanges (10%). Number 8860726.
Welcome to the 416th episode of the FinancialAdvisor Success Podcast ! Fran is the CEO of Toler Financial Group, a DBA firm under the RIA Rossby Financial, in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households. Welcome everyone!
We have a serious communication problem in the industry, and it can be really hard to get hold of clients,” he said, noting that with his technology, advisors can see their clients go to the app every day. Most importantly, it is a superior comms platform that is compliant,” he said.
About the Author Katie Greifeld See more from Katie Greifeld You May Also Like Celebrating outstanding achievement in support of financialadvisor success View the FInalists View the FInalists Latest news U.S. Number 8860726. Active is 10% of ETF assets now — lots of room to grow.” RFG Advisory Launches Suite of Active ETFs $6.5B
However, the most fulfilled advisors we work with are those who regularly reconnect with their “why.” Ask: • Am I serving the types of clients I enjoy working with most? • Are you on track regarding revenue, AUM, new clients, and team development? Are you battling compliance friction or is bureaucracy slowing you down? •
Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all thumbnail Career Moves J.P. manages about $300 million in client assets. Number 8860726. a suburb of Nashville.
July 9, 2025 23 Slides START SLIDESHOW hudiemm/iStock/Getty Images A big industry focus these days is on organic growth; many stress that if advisors can crack the code and grow their client base, they can gain a competitive edge. New client AUM grew on average 7.5% Where should an advisor look to improve on this?
Financialadvisors must manage all aspects of their advisory business to ensure client satisfaction, business growth, and profitability. That includes compliance, marketing, business operations, financial management, and professional development.
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!
We know that AI is rapidly transforming industries, and the financial services sector is no exception. Financialadvisors are often overwhelmed by managing multiple tasks at once, especially when much of their time is consumed by administrative and back-office duties.
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.
If you're an established financialadvisor setting out to launch your own Registered Investment Advisor (RIA) firm, transitioning clients from your previous firm is likely at the forefront of your concerns. Managing this process effectively is crucial for retaining clients and ensuring compliance.
Also in industry news this week: A CFP Board study indicates that financial planners with the certification earn 10% more than other advisors and show very high levels of career satisfaction A Morningstar study has identified 4 main areas where investors find value from their financialadvisors, which might not match an advisor's own list of top ways (..)
While 98% of text messages are read within 3 minutes, the average financialadvisor email sits unopened for 6+ hours ( Wealthmanagement.com ). This communication gap is costing you clients, opportunities, and competitive advantage. A growing disconnect between client expectations and advisor delivery.
Overlay management services implement clients’ investments through a professionally managed diversified portfolio, including tax strategies. Bringing these services in-house gives us greater flexibility to innovate based on the needs of our clients,” Edward Jones Principal Russ Tipper said in a statement. “We Number 8860726.
Category: Compliance. The Significance Of FinancialComplianceFinancialcompliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market.
based registered investment advisor with $1.1 billion in client assets, expanding Steward’s presence in the Bay Area. Its affiliate company, Simplex Wealth Management, serves clients with $1 million or more in assets. Number 8860726. Consilium was founded in 2010, and it consists of Partner John H. Seo and a team of about 10.
The services they offer are great differentiators and help make advisors a go-to resource for navigating the intricacies of retirement income planning (which is very complex), healthcare-cost planning (a too often overlooked major expense), and as an end-of-life services guide (in the case of bQuest).
As fiduciaries, financialadvisors are required to disclose any conflicts of interest that exist between themselves and their current and potential clients. But no matter the size or directness of the conflict, it still needs to be disclosed to clients, at a minimum on the advisor's Form ADV Part 2A brochure.
Understand the significance of website optimization and social media engagement for client interactions. Gain insights on crafting your digital presence to target and engage with ideal clients effectively. Explore advanced tactics like video marketing and PPC strategies tailored for financialadvisors.
Ratner June 11, 2025 2 Min Read A client whose estate will remain non-taxable after 2025 has a policy in an irrevocable life insurance trust (ILIT) that was presumably purchased for estate tax liquidity. Number 8860726.
Judy Weeden: The overall goal is to make advisors’ lives easier to serve the clients to the best of their ability. We want to create a raving fan experience and offload a lot of what advisors do to the internal resources that we have today. For example, once, a client went in and could see their dashboard and net worth.
on Tuesday with a series of workshops focused on alternative investments, artificial intelligence and high-net-worth clients. The panels centered around a general theme of growth, whether how to diversify portfolios to grow, strategies to boost AUM and clients and AI best practices to improve an advisors' business.
For all of the myriad ways financialadvisors can structure and run their practices, firm owners generally encounter similar stages in the development of their firms. Only then can the new owner begin the work of integrating processes and systems and serving their new clients.
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.
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 financialadvisors, at The Boca Raton resort in Boca Raton, Fla.
Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all Marc Schechter RIA Q&A: What Was Behind Schechter’s Decision to Sell to Arax? Number 8860726.
Financialadvisors 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. These requirements include ensuring that promoters are eligible to receive compensation for testimonials or endorsements (i.e.,
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