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

JUNE 9, 2025

The minority RIA investor has hired Lara Galloway to lead organic growth strategy and training for partnered firms, and Melinda Brodbeck as head of communications.

Communication 159

Communication 159

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 Investing Investments 242

Wealth Management

JULY 1, 2025

Direct indexing, as offered today, is operationally burdensome, difficult to communicate, and often not differentiated enough to justify the effort.

Communication 262

Communication 262

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 276

Communication Budgeting 276

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

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 276

Communication Wealth Management Management Assets 276

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

Wealth Management

MAY 21, 2025

Ryan Nauman is joined by Joe Mallen, CEO of Modelist, to discuss the evolving landscape of wealth management and the increasing importance of customizable model portfolios, transparency, proactive communication, and adaptability in modern wealth management practices.

Portfolio 227

Portfolio Wealth Management Communication Management 227

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

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

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 257

Communication Clients 257

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

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.

Communication 69

Communication Financial Advisor Marketing Marketing 69

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

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 225

Financial Planning Planning Communication Clients 225

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 Investing Investments 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 Clients 243

Wealth Management

JUNE 12, 2025

Mission Wealth CMO Michelle Winkles shares insights on integrating AI tools like Grammarly and JUMP for improved communication in wealth management.

Wealth Management 173

Wealth Management Management Communication Marketing 173

Wealth Management

JUNE 18, 2025

NewEdge Wealth’s Cameron Dawson details strategies for managing client communications during market volatility.

Marketing 152

Marketing Marketing Communication Clients 152

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

Wealth Management

JUNE 11, 2025

The organization’s “competency model” will focus on six areas, including client communication, leadership and professionalism, with a self-assessment and access to webinars and other tools.

Communication 170

Communication Clients 170

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

MAY 27, 2025

David Handler provides insights into the essential role financial advisors play in estate planning, why it's important to have an estate plan and the importance of communication and education within families about wealth management.

Estate Planning 159

Estate Planning Financial Advisor Planning Wealth Management 159

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

JUNE 3, 2025

The SEC's off-channel communication probe resulted in $1.8B Learn why deregulation doesnt mean relaxed compliance for financial firms.

Compliance 170

Compliance Communication 170

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

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 254

Communication Numbers 254

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 210

Clients Communication Numbers Management 210

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

JUNE 18, 2025

Given how easily clients may conflate a discussion of potential tax savings with an endorsement to act, advisors must be extremely careful in how they communicate tax-related strategies. Additionally, recent developments in advisory firm practices and technology have further blurred the lines between planning and advice. Read More.

Taxes 187

Taxes Tax Planning Communication Clients 187