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Pete is the Director of Sustainable Investing of Earth Equity Advisors, an RIA based in Asheville, North Carolina, that oversees approximately $200 million in assets under management for 250 client households. My guest on today's podcast is Peter Krull.
Mason received a 97-month prison sentence for defrauding clients of over $17 million. Diana Britton , Executive Editor , WealthManagement.com June 26, 2025 2 Min Read Image courtesy of Ken Teegardin Scott J.
During periods of market volatility, it's common for financial advisors to receive calls from clients who are nervous about what a steep market decline might mean for their portfolio and long-term financial goals. But even when a client agrees with the reasoning in the moment, the anxiety often lingers.
During periods of market volatility, it's common for financial advisors to receive calls from clients who are nervous about what a steep market decline might mean for their portfolio and long-term financial goals. But even when a client agrees with the reasoning in the moment, the anxiety often lingers.
Fun conversation in Barron’s about Steering Clients Away From Bad Investing Mistakes. Source : How Next-Generation Advisors Steer Clients Away From Bad Investing Mistakes A key role of a financial advisor is to prevent clients from making rash decisions during volatile markets. Check it out here.
Anjali is the Founder of FIT Advisors, an RIA based in Torrance, California (but works virtually with clients nationwide) and oversees $65 million in assets under management for 45 client households.
Early in a firm's life cycle, a founder might take on nearly any client (and their fees) just to generate enough revenue to 'keep the lights on'. However, as the firm grows, some of those early clients may no longer be profitable to serve – especially if they generate lower fees than newly onboarded clients.
In How Not to Invest , I showcase extreme examples of unforced errors to illustrate these behavioral mistakes. The article suggests they were more interested in their own financial well-being than that of their clients. Chris Bloomstran, chief investment officer of Semper Augustus Investments Group, has tracked this.
Investment advisers are fiduciaries that owe a duty of care and loyalty to their clients. One component of this duty of care is an obligation to seek best execution of client securities transactions. The SEC, in its interpretive release, sets an expectation of "periodic and systematic evaluation" (i.e.,
It's natural for advisors to begin discovery meetings by asking questions about a client's current financial situation – understanding cash flow, debt, investments, risk tolerance, or even the burning tax concern that brought them to the advisor's door in the first place is crucial for financial planning.
Nina is a partner of Stratos CA, a hybrid advisory firm affiliated with Stratos Wealth Partners and based in Los Angeles, California, that oversees approximately $500 million in assets under management for 300 client households.
The acquisition of Brooklyn Investment Group and its parent, Brooklyn Artificial Intelligence, will expand tax-advantaged and AI capabilities for the firm’s advisor clients.
Many financial advisory clients might work for 40 years or more, ideally seeing their income – and capacity to save for retirement – increase over time as they advance in their careers. But not every client may want to leave the workforce early.
The WealthStack Podcast: Unlocking Private Markets with AssetMarks Michael Kim The WealthStack Podcast: Unlocking Private Markets with AssetMarks Michael Kim AssetMarks Michael Kim unpacks how technology, education and private equity access are converging to redefine portfolio construction.
billion in client assets to its independent advisor channel. 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 The Valhalla, N.Y.
Elizabeth Warren Regulation & Compliance Warren, Empower Face Off Over Companys Private Market Moves Warren, Empower Face Off Over Companys Private Market Moves by Patrick Donachie Jul 8, 2025 3 Min Read Investment Related Topics Alternative Investments Digital Assets Equities ETFs Fixed Income Investing Strategies Mutual Funds Real Estate SMAs (..)
It’s this unique vantage point, and depth of knowledge and empathy, plus a natural ability to “connect the dots” that have earned Jason the trust and respect of the industry’s most sophisticated financial advisors at one of the nation’s leading recruiting and consulting firms.
Katie Greifeld July 2, 2025 2 Min Read Bloomberg photo (Bloomberg) -- Vanguard Group is planning its debut into an increasingly competitive corner of the $11.6 trillion US exchange-traded fund arena.
Maintaining adequate books and records is a cornerstone of compliance for all investment advisers. For financial planning services, a similar approach to documentation can be applied to support regulatory compliance from the start of client engagement through all the steps that follow.
trillion annually over the next decade as part of the great wealth transfer, a new report finds. trillion annually over the next decade as part of the great wealth transfer, a new report finds.
billion in assets under management for 1,800 client households. David is the founder of The Bahnsen Group, an RIA based in Newport Beach, California, that oversees approximately $7.5
Advisor Anna Rathbun goes live with Grenadilla Advisory, a Cleveland-based RIA specializing in creating personalized alternative investment portfolios for clients.
Advisors have a relatively brief window of time to communicate their value to prospective clients. Financial motivators – such as solving a specific issue or seeking better investment performance – were cited less frequently, but remain important, especially when a prospect has a clearly defined financial pain point.
billion in assets under management for 630 client households. million to more than $10 million in 2025 alone) thanks in part by attracting clients who have engaged with his educational YouTube videos. James is the founder of Root Financial, an RIA based in Encinitas, California, that oversees $1.3
This week, I speak with Velina Peneva , group chief investment officer at insurance giant Swiss Re. While she was there, she worked with fund managers and investors, became a leader in the private equity practice in Zurich and became a member of the firm’s global investment committee.
The Wealth Management EDGE conference kicked off at The Boca Raton resort with workshop panels focused on alternative investments, artificial intelligence and high net worth clients.
Over the past decade, a growing number of advisors have expanded into offering comprehensive financial planning services, reflecting a shift that not only helps them stand out from (increasingly commoditized) portfolio management offerings but also supports clients' broader financial goals.
What's unique about Libby, though, is how she has created a system for onboarding clients (based on her experience as a coach and as a financial advisor herself) that demonstrates a firm's professionalism, reduces points of friction, and shows personal touches, that together can drive client referrals after just their first 100 days with the firm.
Other key findings from the survey included a gap between long-term investment return expectations of investors and advisors (12.6% Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a recent survey of U.S.
The transcript from this weeks, MiB: Charley Ellis on Rethinking Investing , is below. Charlie Ellis is just a legend in the world of investing. He was chairman of the Yale’s Endowment Investment Committee and his, not only did he write 21 books, his new book, rethinking Investing, is just a delightful snack.
While this model remains widespread, firms have adopted different ways of structuring their AUM fees to align with their service models and client needs. Instead, graduated and cliff pricing structures – which apply tiered or blended rates as assets grow – help balance costs across different client segments.
Note: This index is a leading indicator primarily for new Commercial Real Estate (CRE) investment. Although inquiries into new projects continued to increase at a relatively slow rate, the value of newly signed design contracts decreased further in December as clients remained hesitant to commit to new work.
podcasts.apple.com) The biz Fidelity's move to sweep client cash into FCASH, making more work for RIAs. riabiz.com) Morgan Stanley's ($MS) wealth management division apparently prioritized assets over vetting clients. riabiz.com) Why wealth managers need to do more to support client charitable giving. thinkadvisor.com)
Amid the market rancor in recent days, some wirehouse advisors are telling clients to “buy the dip,” reports FundFire. The unwinding of a popular carry trade borrowing in yen and investing in other currencies is a culprit in the increased market volatility.
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that while overall financial advisor headcount remains relatively flat, the RIA channel continues to gain share in terms of both headcount (as brokers break away to start their own independent firms and aspiring advisors seek (..)
But delivering those recommendations in a way that clients can understand and act on is a separate skill. Because when advice is clear and comprehensible, clients are more likely to act on it and gain peace of mind from knowing there's a well-considered strategy in place! Fortunately, advisors don't need to start from scratch.
In the early days of financial planning, serving clients often meant developing transactional relationships focused on facilitating trades and selling insurance. Over time, advisors shifted toward more analytical approaches, such as investment management and retirement planning.
For firms with high-net-worth clientele, one way to do this is to offer alternative investments, such as private equity, private debt, or hedge funds, which may offer clients the ability to invest in a more diverse range of assets.
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a recent report finds that the number of SEC-registered RIAs, the assets that they manage, and the number of clients they serve all increased between 2023 and 2024 and suggests the industry is robust across the size spectrum, (..)
is perhaps the most fundamental question a client brings to their advisor. Answering it well requires a range of assumptions – from estimating average investment returns to understanding correlations across asset classes. Beyond market variables, clients bring their own behaviors and preferences into play.
Senate appears poised to pass legislation that would eliminate the long-established WEP and GPO provisions and increase the Social Security benefits of many state and local workers in the process From there, we have several articles on investment planning: While index funds are often viewed as 'passive' investments, advisors can add value for their (..)
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