Abnormal Returns

JULY 10, 2023

(larrykotlikoff.substack.com) The biz Goldman Sachs ($GS) has snagged another custodian client, NewEdge Wealth. investmentnews.com) Compliance There's no winning the cybersecurity war, just stalemate. financial-planning.com) Advisers don't like spending time on administrative and compliance issues. wsj.com)

Compliance 200

Compliance Recruitment Wealth Advisor Financial Planning 200

Nerd's Eye View

JUNE 23, 2023

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Financial Planner 218

Financial Planner Recruitment Compliance Financial Advisor 218

Diamond Consultants

AUGUST 9, 2022

Many advisors dream of going independent for the freedom and flexibility to control their business, client service model, and bottom line. The notion of taking on the task of managing compliance, technology, HR, and finance is often what stops advisors from going independent. Support & Resources.

Compliance 59

Compliance Recruitment Clients Tax Planning 59

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

JANUARY 10, 2023

While many veteran advisors struggle with the thought of their eventual retirement and succession, the dearth of young advisor talent to fill the ranks compounds the concern. And while these retire-in-place programs are one way to monetize your business at day’s end, they are certainly not the only way. Have a plan B. Know your value.

Recruitment 59

Recruitment Financial Advisor Compliance Planning 59

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

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 290

Assets Clients Investing Investments 290