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. A financial paraplanner is a junior wealth management professional who supports the research, operations, and client service activities of a financial planner. Was this helpful?

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Diamond Consultants

JUNE 21, 2022

Being a “student of the industry” – knowing how it is changing and becoming aware of the growing list of options available – will no doubt empower you to become a better advisor and, even more so, a fiduciary to your clients. View everything from your clients’ perspectives. Best practices to consider. What’s in it for them ?

Financial Advisor 52

Financial Advisor Recruitment Compliance Education 52

Diamond Consultants

DECEMBER 5, 2023

Increasing bureaucracy, rising compliance restrictions, diminishing freedom over investments, and client communications—just a few of the issues we hear about from advisors every day. For some, it may result from not having ready access to the holistic and high-end resources needed to land and retain HNW and UHNW clients.

Compliance 52

Compliance Clients Retirement Recruitment 52

Diamond Consultants

MARCH 14, 2023

In a world driven by the bottom line, the root of contentment often lies behind less “easily measured” criteria For all of the time, energy, effort, and money that firms spend on recruiting advisors, there’s one critical question they often neglect to address. Is there red tape that is hindering the advisor and client experience?

Financial Advisor 59

Financial Advisor Recruitment Clients Compliance 59

Trade Brains

SEPTEMBER 22, 2023

It also offers comprehensive health check-up packages for men, women, senior citizens, young people, and corporate clients. The company has over 1,400 active global clients, over 2,50,000 employees and a company presence in 66 counties. The company has 3,500+ clients across 60+ Industries and 20+ Training & Hiring Centers.

Portfolio Analysis 116

Portfolio Analysis Portfolio Healthcare Banking 116

Diamond Consultants

JANUARY 10, 2023

Debating the merits of stringent compliance regimes is beyond the scope of this article, but the reality is that we live in a world of heightened oversight. For example, what if management changes policies that impact your growth or ability to serve clients? It means that firms are willing to pay a premium to recruit.

Recruitment 59

Recruitment Financial Advisor Compliance Retirement 59

Diamond Consultants

MAY 27, 2022

And, for those who moved, did their clients follow? What about the Broker Protocol and client portability? The Broker Protocol is a framework for recruiting that allows advisors moving to/from certain firms to take select client information with them and freely solicit clients upon resigning. Updated: May 31, 2022.

Recruitment 52

Recruitment Clients Compliance Wealth Management 52

Inside Information

MAY 30, 2023

I completely get why they would tell this to credulous writers; the public has increasingly shifted away from any taint of ‘sales’ in an advisor relationship, and the concept of hiring an advisor who puts their clients’ interests first (even if most people don’t understand the term ‘fiduciary’) is an attractant.

Communication 40

Communication Sales Compliance Insurance 40

XY Planning Network

JANUARY 16, 2023

If notifying or bringing your clients with you is on your checklist, add this task first: C heck employment contract. So, it’s understandable that, should that day come, they find themselves unaware of the restrictions placed on them when it comes to notifying their clients or bringing them with them. 4 MIN READ. New year, new firm?

Clients 72

Clients Assets Management Recruitment 72

The Big Picture

MAY 9, 2023

SALISBURY: At the simplest level we manage money for our clients. Three main client segments. Institutional clients, our own private wealth clients, and then third-party wealth clients where we manage money on behalf of other wealth managers distribution partners. SALISBURY: Look, every client is different.

Assets 286

Assets Clients Investing Investments 286

Diamond Consultants

DECEMBER 20, 2022

That is, clients wanted more from their advisors; advisors wanted more from their firms; and the firms, too, wanted more from their advisors. With recruiting particularly active at Morgan Stanley and UBS, advisors demonstrated that it’s still the right model for many of them.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

The Big Picture

MAY 23, 2023

How to recruit and retain the best people and how to use technology as a tool to give you an edge, not just in investing but in the ability to offer clients various solutions improving your efficiency, effectiveness and productivity as a company. I manned client call phones. It’s very close to Covent Garden and very old cells.

Clients 152

Clients Management Engineering Investing 152

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 152

Compliance Wealth Management Clients Management 152

Sara Grillo

SEPTEMBER 26, 2022

JR: The advisors were as much the victims as their clients were, and the brokerage firm would say they were all inappropriate behavior, so they’re all disclosures. Option rate securities were… 0:14:54.9 So it’s very difficult to do that. It is kind of a case by case thing. I still have to argue in that regard.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

SEPTEMBER 5, 2023

I mean, essentially what no one understood in the industry and still don’t understand today in the real estate industry is that when appraisers doing an appraisal for the buyer that’s getting a mortgage, their client is actually the bank. RITHOLTZ: Right, that’s right. RITHOLTZ: 44, I mean, it’s there for the taking.

Sales 130

Sales Numbers Taxes Marketing 130

The Big Picture

MARCH 21, 2023

But when you’ve gone through two-year periods like the tech bubble, and three-year periods like ‘18 through ‘20, I think myself, my family and some of my clients might take issue with the word consistently. And it’s really not a compliance reason, I hope it’s more of an intellectual honesty reason. RITHOLTZ: Right.

Valuation 161

Valuation Investing Investments Numbers 161

The Big Picture

MAY 16, 2023

Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. But, but for other people, we have, we have clients who’ve sold businesses. RITHOLTZ: I have a behavioral finance list. I have a, I have everybody in my firm on a list. I see everything that everybody tweets.

Media 278

Media Investing Investments Valuation 278