NAIFA Advisor Today

JANUARY 6, 2025

Over the decades, he has built enduring relationships with clients, many of whom have been with him for over 30 years. Despite the initial shock and challenges of working on straight commission, Tom leaned into his natural work ethic, his extensive network, and his determination to succeed.

Financial Services 98

Financial Services Ethics Commission Insurance 98

Nerd's Eye View

JANUARY 13, 2025

With another strong year in the markets, most advisory firms are near or at record highs for their revenue, their numbers of clients, and the headcounts of their teams. Which is surprising to some, given that a decade ago, the emergence of so-called "robo-advisors" was supposed to displace human financial advisors and compress advisory fees.

Financial Advice 147

Financial Advice Ethics Education Financial Planning 147

Nerd's Eye View

JUNE 30, 2025

Yet in recent months, the volatility has subsided, markets have rallied back near their highs, and advisory firms are back to dealing with the increasingly common challenge of how to continue to scale service in the face of growth as clients continue to accrue over time.

Financial Planning 130

Financial Planning Financial Advice Clients Ethics 130

WiserAdvisor

JUNE 4, 2025

Financial advisors should take these factors into account to ensure their clients receive the right experience. Comprehensive financial planning over fragmented advice These days, clients want comprehensive financial plans and not isolated solutions to singular problems. These decisions are deeply interconnected.

Financial Planning 59

Financial Planning Planning Financial Advisor Ethics 59

International College of Financial Planning

JUNE 5, 2025

Clients were all about one thing: performance. And if you haven’t changed with it, well your clients have already moved on. A New Avatar of Client Take Abhay Mehta – 29 years old, heir to a ₹2,700 crore family business in Mumbai. The client is overwhelmed. Lets be real for a moment. Often fast. Sometimes all in one.

Wealth Management 40

Wealth Management Management CFP Certified Financial Planner 40

Midstream Marketing

OCTOBER 31, 2024

They work closely with their clients to reach this goal. They know that their marketing strategies work well and they follow important ethical and legal rules. Financial marketing consultants focus on understanding the target market for each client. Clients in financial services should think about the return on investment.

Consulting 52

Consulting Financial Market Marketing Marketing 52

Midstream Marketing

NOVEMBER 5, 2024

Key Highlights A strong presence on social media can help financial advisors meet potential clients and boost brand awareness. Get advice on creating content, such as combining educational and promotional posts, and using questions from clients. Many potential clients look online for information. Make a strong LinkedIn profile.

Media 52

Media Financial Advisor Marketing Marketing 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

NAIFA Advisor Today

NOVEMBER 7, 2024

With his roots in rural Idaho, he has spent over 50 years in the financial services industry, championing the importance of ethics, education, and advocacy. Cliff has left a lasting legacy mentoring young advisors, demonstrating a deep commitment to the growth and development of professionals in the field.

Ethics 52

Ethics Financial Services Education Clients 52

The Big Picture

JULY 1, 2025

There’s interesting clients, there’s quite a lot of us partners there. I mean, I was in Zurich, but I was serving a lot of the European clients. But then it’s up to the client to implement it. So Bain does a lot of due diligence for private equity clients. Why don’t you go to Zurich, for example?

Investments 144

Investments Investing Consulting Insurance 144

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. They must attract potential clients attention. When they achieve this, they can build solid relationships with potential clients and grow their business.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

The Big Picture

APRIL 29, 2025

They sent you out to clients very early on in your career, and you also got people management skills pretty early on. And as a result, I got hired away by one of Anderson’s clients, which was Aetna. It’s, you know, just well-known quality firm, strong results, impressive client roster.

Management 130

Management Assets Portfolio Insurance 130

Trade Brains

JULY 10, 2025

Clients rent the entire phone farm. “Their client list is actually mostly Web2,” Wilton revealed. Profit drives everything; ethics vanish. He visited two remote locations. “They have no interest in anybody knowing,” he noted. The operation sells access too. They use it for any purpose they choose.

Distribution 84

Distribution Ethics Accounting Clients 84

Cornerstone Financial Advisory

MARCH 14, 2025

At Cornerstone Financial Advisory, we have a saying we like to use with clients An inheritance is nice. Ethical Investments: Make investment choices that align with Christian values. Ethical Investments: Align investments with Christian values. What Are the Biblical Principles of Estate Planning? Wisdom is better.

Estate Planning 52

Estate Planning Planning Ethics Healthcare 52

The Big Picture

MAY 20, 2025

Tell us about the mutual funds in ETFs you run on behalf of Bridgeways clients. 00:27:25 [Speaker Changed] Sometimes I get into conversation with a prospective client and you might hear something like, you know, it sounds like you’re good guys, you know, you’re philanthropically geared and you get awards is a great place to work.

Management 130

Management Numbers Transportation Accounting 130

Diamond Consultants

JULY 15, 2025

Sure, my mom was a successful entrepreneur by that point, and her way of doing things had served her and our clients well, but, to her credit, she understood there’s always room for incremental improvement. Be more concerned whether they share your values, have a strong work ethic and will lead with integrity. Guess what?

Planning 52

Planning Ethics Recruitment Wealth Management 52

Trade Brains

JULY 25, 2025

Additionally, a 3 MW IT load at the Manesar facility has been secured for a significant private sector client. A bout the company Anant Raj Limited, founded in 1969, has established itself as a symbol of quality and ethical business practices in India’s real estate sector. Another residential project, Group Housing-2, covering 1.09

Ethics 52

Ethics Investing Investment Advisor Investments 52

Nerd's Eye View

JULY 21, 2025

The end result of this dynamic is that even when advisory firms are successful and clients are well served, we're constantly on the lookout for what we could be doing differently to serve clients better, and have to remain constantly vigilant to threats from the changing landscape (from volatile markets to the rise of AI).

Financial Advisor 173

Financial Advisor Ethics CFP Clients 173

Nerd's Eye View

JUNE 21, 2023

All investment advisers are fiduciaries that owe a duty of care and loyalty to their clients, and, in an ideal world, advisory firms and their staff would abide by these requirements without the need for a prescriptive code of ethics.

Ethics 244

Ethics Fiduciary Duty Compliance Clients 244

Nerd's Eye View

JULY 8, 2024

And to meet the growing demand for the required "Ethics & Professional Responsibility" content in particular, we're also excited to announce the return of our IAR Ethics CE on August 29 , 2024! Along with the expanded CE offerings, we've also been reinvesting heavily into making the Kitces platform easier to use.

Ethics 239

Ethics Education Financial Advice Communication 239

Wealth Management

JANUARY 11, 2023

What attorneys can and can’t do.

Ethics 264

Ethics Clients 264

Nerd's Eye View

JULY 17, 2023

Our newest course on Life Insurance Policies adds to our existing programs on reviewing Tax Returns and navigating Estate Documents as well, and we're committed to continue to expand our financial advicer curriculum in the years to come!

Ethics 245

Ethics Financial Advice CFP Financial Advisor 245

Wealth Management

NOVEMBER 13, 2023

The IRS isn’t playing around; neither should your clients. Look to legal and ethical ways to reduce tax burdens.

Ethics 299

Ethics Taxes Clients 299

Wealth Management

AUGUST 22, 2023

Ethical considerations for this modern approach to working.

Ethics 246

Ethics Clients 246

Wealth Management

JULY 19, 2023

A new opinion addresses how attorneys should meet ethical requirements for client confidentiality.

Ethics 246

Ethics Clients 246

Nerd's Eye View

NOVEMBER 7, 2023

Veronica is a Senior Financial Advisor at CAPTRUST and works from the RIA's Lake Success, New York, office, where she oversees $360 million in assets under management for about 200 client households.

Clients 246

Clients Financial Advisor Ethics Planning 246

Nerd's Eye View

APRIL 7, 2023

Also in industry news this week: FINRA has announced that, on the heels of its first enforcement action under the Reg BI rules, it will be ramping up its examinations of broker-dealers for potential violations (after a long period of relative leniency when firms were still determining how best to comply with the rule) A recent study from Ameriprise (..)

Financial Planner 246

Financial Planner Ethics Financial Advisor Clients 246

NAIFA Advisor Today

SEPTEMBER 7, 2022

The answer this year has resulted in 27 NAIFA members who serve Main Street USA by actively promoting financial literacy in their clients’ best interests and following the NAIFA Code of Ethics. You can view the list of these professionals in Advisor Today.

Ethics 96

Ethics Clients 96

Nerd's Eye View

JULY 31, 2024

At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.

Compliance 247

Compliance Ethics Advertising Clients 247

Million Dollar Round Table (MDRT)

SEPTEMBER 8, 2024

By Antoinette Tuscano, MDRT senior content specialist You hope you never get them, but misunderstandings and client complaints can happen. There’s an important business process, though, that can stop them from escalating into ethics complaints.

Clients 103

Clients Ethics CFP Communication 103

Nerd's Eye View

MAY 31, 2024

Going beyond FPA’s existing PlannerSearch tool, the narrowed-down list is meant to help consumers identify a focused subset of the most reputable planners.

Financial Planner 238

Financial Planner Ethics Taxes Financial Advisor 238

Nerd's Eye View

APRIL 25, 2023

that oversees $143 million in assets under management (AUM) for nearly 75 client households. Ari is Managing Partner of Values Added Financial, an independent RIA based in Washington, D.C.,

Management 247

Management Financial Advisor Clients Ethics 247

Nerd's Eye View

OCTOBER 3, 2022

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: Ethic Investing raises a $50M Series C round as values-based “personalized indexing” through direct indexing tools continues to gain momentum.

Commission 246

Commission Financial Planning Ethics Planning 246

Nerd's Eye View

JULY 31, 2024

At the core of the examination, though, is a review of the firm's compliance policies and procedures and code of ethics, including not just a copy of the 'paper' compliance manual but also how the practices and controls the firm puts into place ensure it adheres to its compliance program.

Compliance 190

Compliance Ethics Advertising Clients 190

Nerd's Eye View

DECEMBER 11, 2023

For most financial advisors, 2023 was a year of rebound and reinvestment, as markets bounced back from the turbulence of 2022, and expanded profit margins allowed advisory firms room to reinvest back into the services and value they're providing clients to make sure their retention stays strong in the future.

Financial Advice 245

Financial Advice Financial Advisor Ethics Financial Planning 245

Nerd's Eye View

SEPTEMBER 13, 2022

We also talk about how, while Carolyn was first working in the broker-dealer space, it was the opportunity she received to explore and analyze the newly emerging advisory side of financial services that led her to truly appreciate the benefits of financial planning for not only the client relationship but also the steady revenue streams it created (..)

Financial Advisor 238

Financial Advisor Financial Services Ethics Recruitment 238

Million Dollar Round Table (MDRT)

AUGUST 13, 2023

You’re ethical. You and the client are on the same side of the table. Honest clients want to work with other people who share that value. This can be a career-ending event for the client, even if the advisor was the source. Clients want someone who knows and follows the rules. Confidentiality. Communication.

Financial Advisor 97

Financial Advisor Clients Ethics Communication 97