Wealth Management

FEBRUARY 9, 2024

mirror other allegations concerning retaining electronic communications. The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co.

Communication 285

Communication Electronics 285

Wealth Management

JANUARY 6, 2023

New research from WealthManagement.com's WMIQ suggests firms are inhibiting growth by minimizing, and in many cases mishandling, marketing and client communications.

Communication 303

Communication Clients Marketing Marketing 303

Wealth Management

NOVEMBER 5, 2024

UniFi by CAIA's Aaron Filbeck details the evolution of alternative investments and the importance of client communication.

Communication 246

Communication Clients Investing Investments 246

Wealth Management

APRIL 16, 2024

The SEC has repeatedly rewarded firms who self-reported their use of WhatsApp and other unauthorized communication means with leniency.

Communication 278

Communication 278

Wealth Management

NOVEMBER 5, 2024

UniFi by CAIA's Aaron Filbeck details the evolution of alternative investments and the importance of client communication.

Communication 242

Communication Clients Investments Investing 242

Wealth Management

MAY 15, 2025

Jump, Zeplyn and Zocks, which can all capture meeting notes and create summaries, help generate client communications and trigger service actions, have now been integrated with the AdvisorEngine platform.

Communication 253

Communication Clients 253

Wealth Management

AUGUST 4, 2023

True personalization means taking the time to understand your clients' preferred learning styles and communication preferences to lay the foundation for fruitful dialogue, genuine comprehension of your advice, and ultimately, sound decision-making and action by the client.

Communication 246

Communication Clients 246

Wealth Management

OCTOBER 11, 2024

Our tech columnist discusses AI and compliance with the chief executive of one of the industry’s largest providers of communications compliance technology.

Compliance 264

Compliance Communication 264

Abnormal Returns

OCTOBER 17, 2024

Autonomous driving Austin Vernon, "Humans being awful drivers leads to a massive increase in vehicle costs and weight, makes cars more dangerous to people outside of them, and imposes significant costs on infrastructure like roads." austinvernon.site) What's it going to take to reach full autonomous driving?

Communication 274

Communication Budgeting 274

Wealth Management

JANUARY 29, 2025

Clearly explaining the technical aspects of the planners proposals aids in the successful implementation of estate plans.

Communication 277

Communication Estate Planning Clients Planning 277

Abnormal Returns

APRIL 29, 2024

Podcasts Ben Johnson and Julie Willoughby talk with Jen Abate, Head of Financial Institutions Group at Lazard Asset Management (morningstar.com) Cameron Passmore and Benjamin Felix talk with Meir Statman author of the new book "A Wealth of Well-Being: A Holistic Approach to Behavioral Finance."

Communication 274

Communication Wealth Management Management Assets 274

Wealth Management

NOVEMBER 20, 2024

When the fiduciary and the beneficiary don’t engage with each other, it can create discord that leads to litigation.

Communication 246

Communication 246

Nerd's Eye View

APRIL 17, 2025

Advisors can also use these materials to communicate the firm's values and purpose – both for conveying firm culture and reducing the time advisors need to spend reviewing and correcting work done by others. From there, an advisor can focus more on the art of delegating well.

Management 221

Management Communication Clients 221

Wealth Management

AUGUST 14, 2024

More than two dozen broker/dealers and RIAs agreed to pay a combined $392.75 million in penalties, including Raymond James, LPL, Edward Jones and Osaic, among others.

Communication 306

Communication 306

Indigo Marketing Agency

MARCH 20, 2025

Recession Concerns & Market Volatility: How Financial Advisors Should Communicate With Clients As financial advisors , youre well aware that so far the 2025 financial market has been more unpredictable than a toddler. Why Proactive Communication Matters If theres one thing more unpredictable than the markets, its human emotion.

Financial Advisor 69

Financial Advisor Communication Marketing Marketing 69

Wealth Management

AUGUST 9, 2024

According to the firm’s two recent quarterly filings, Raymond James has reached “a settlement in principle” with the commission’s Enforcement Division, including a $50 million fine.

Communication 298

Communication 298

Abnormal Returns

AUGUST 23, 2023

Strategy Better investing comes from better decision making. ritholtz.com) Quant strategies are not free from human input. blog.validea.com) The only way to learn about investing is actually putting money on the line. flyoverstocks.com) Expertise does not shield you from failure. portfoliocharts.com) Finance Zero-day options are coming to Europe.

Communication 245

Communication Financial Advising Media Economy 245

Nerd's Eye View

MARCH 20, 2024

But by communicating the guardrails withdrawal strategy (and not necessarily the underlying Monte Carlo probability of success changes) to clients, advisors offer them both the portfolio value that would trigger spending changes and the magnitude that would be prescribed for such changes.

Communication 246

Communication Clients Risk Tolerance Financial Planning 246

Wealth Management

SEPTEMBER 29, 2023

The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1 billion in collective penalties.

Communication 342

Communication Investment Advisor Investments Investing 342

Nerd's Eye View

NOVEMBER 4, 2024

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: Advisor sales enablement platform Nitrogen has announced its own feature for extracting information from prospects' investment statements that can be automatically fed into Nitrogen's analysis and proposal generation tools, which (..)

Estate Planning 243

Estate Planning Planning Communication Taxes 243

Wealth Management

MAY 13, 2025

Firms should expect a "small number" of enforcement actions stemming from the targeted exam sweep launched in the wake of FTX's collapse, according to a FINRA enforcement exec.

Communication 242

Communication Numbers 242

Nerd's Eye View

NOVEMBER 11, 2024

Advisors may also want to consider a contractor's communication style and marketing philosophy to assess compatibility with the firm's values. However, more complex needs, such as strategy and brand development, may benefit from someone with industry expertise to ensure deeper understanding with fewer revisions required.

Marketing 246

Marketing Marketing Communication Engineering 246

Nerd's Eye View

APRIL 24, 2024

Over the past few decades, advicers have used Monte Carlo analysis tools to communicate to clients if their assets and planned level of spending were sufficient for them to realize their goals while (critically) not running out of money in retirement.

Communication 246

Communication Retirement Clients Accounting 246

Wealth Management

MARCH 8, 2024

Introducing the Chicago RIA on International Women’s Day, Expressive led by 3 female partners and has licensed clinical psychologist on staff.

Communication 290

Communication License 290

Wealth Management

SEPTEMBER 24, 2024

According to SEC Enforcement Director Gurbir Grewal, Qatalyst Partners did not have to pay a monetary penalty because it self-reported the results of its investigation.

Communication 290

Communication 290

Nerd's Eye View

FEBRUARY 24, 2025

He explains how they identified which clients were no longer profitable, developed an alternative service model to offer these clients, mentally prepared for the transition, and effectively communicated the changes. staff time, technology, and custodial fees) and indirect costs (e.g., rent, marketing, and training).

Clients 211

Clients Communication Numbers Management 211

Nerd's Eye View

MARCH 21, 2025

Also in industry news this week: While inter-channel advisor moves often make headlines, a recent study from Diamond Consultants found that most advisor transitions occur between firms in the same channel The number of disciplinary cases and restitution orders from FINRA increased in 2024 (the total amount of fines declined) as the self-regulatory (..)

Financial Planner 228

Financial Planner Commission Communication Clients 228

Nerd's Eye View

MAY 15, 2025

In the 164th episode of Kitces and Carl, Michael Kitces and client communication expert Carl Richards discuss how young advisors can strike the right balance between complex explanations and simplicity as they build trust and social capital. So, how can advisors strike the balance of communicating competence without overwhelming clients?

Financial Planning 147

Financial Planning Planning Communication Clients 147

Nerd's Eye View

APRIL 14, 2025

It serves as an introductory conversation with COIs who may be a valuable resource, with the primary goal of exploring values, communication styles, ideal client profile, and experience working with other professionals. The first meeting is focused on building rapport and conducting an initial assessment.

Communication 214

Communication Clients Financial Planning Planning 214

Abnormal Returns

MAY 16, 2025

Companies Charter Communications ($CHTR) and Cox Communications are merging. cnbc.com) Meta's ($META) Facebook and Instagram are increasingly scam-filled. wsj.com) How big an additional opportunity is experiences for Airbnb ($ABNB)? platformaeronaut.com) Apple Apple ($AAPL) made a strategic mistake.

Communication 167

Communication Media Economy Marketing 167

Wealth Management

APRIL 16, 2025

Craft and Capital's Chris Sullivan discusses the importance of creating engaging narratives in asset management, the value of leveraging media relations for effective communication and the importance of authenticity and having clear, differentiated messages to stand out in a competitive market.

Communication 143

Communication Media Assets Management 143

Nerd's Eye View

DECEMBER 24, 2024

In this episode, we talk in-depth about how Paul works with advisors to produce short books that can be read in 1 to 2 hours (which increases the chances that it will actually be finished), why Paul recommends advisors self-publish their books on Amazon (both because of its lower price point than using a traditional publishing firm, and because of (..)

Financial Advisor 246

Financial Advisor Clients Communication Accounting 246

Nerd's Eye View

DECEMBER 12, 2024

In this 153rd episode of Kitces and Carl, Michael Kitces and client communication expert Carl Richards discuss how advisors can navigate the challenge of managing underpaying clients.

Clients 246

Clients Communication Financial Planning Accounting 246

Nerd's Eye View

MARCH 3, 2025

Advisor-focused AI meeting note solution Jump has completed a $20 million funding round, which reinforces its status as the emerging market leader in the crowded AI meeting note category – a status that may only increase from here if AI meeting notes, like most established AdvisorTech categories, evolves into a "winner-take-all" market where (..)

Estate Planning 173

Estate Planning Portfolio Management Communication Planning 173

Wealth Management

NOVEMBER 20, 2024

New tools automate the process of personalizing service and communications to improve the advisor-client relationship.

Financial Advisor 325

Financial Advisor Communication Clients 325