FMG

DECEMBER 22, 2022

As you’re based in Washington, how has the pandemic affected your business plan and the way you communicate with clients? What have you learned and changed about the way you communicate with clients if there have been changes? I couldn’t pass up on the one-click compliance! Definitely a stretch goal for me haha.

Financial Advisor 52

Financial Advisor Compliance Clients Communication 52

Abnormal Returns

JANUARY 14, 2025

axios.com) Firms are still getting fined for text compliance issues. wsj.com) TikTok Ryan Broderick, "If youre an American thats been relying on TikTok as a publishing or communication tool it means that you fundamentally do not understand what the app is." thinkadvisor.com) A look at JP Morgan's ($JPM) ambitions in Europe.

Compliance 182

Compliance Communication Media Economy 182

International College of Financial Planning

JUNE 14, 2023

Definition of an Investment Advisor In simple terms, an investment advisor actively provides investment-related advice to individuals, groups, or companies. It is important to note that a new NISM certification must be obtained before the expiry of the existing certificate to ensure compliance with guidelines.

Investment Advisor 52

Investment Advisor Investments Investing Certification 52

Brown Advisory

SEPTEMBER 12, 2016

I also reflected on the confusing nature of this area with constantly changing word definitions, potentially conflicting investment goals and emotionally charged concerns often colliding with unintended results. This communication and any accompanying documents are confidential and privileged.

Portfolio 52

Portfolio Clients Investments Investing 52

Brown Advisory

SEPTEMBER 12, 2016

I also reflected on the confusing nature of this area with constantly changing word definitions, potentially conflicting investment goals and emotionally charged concerns often colliding with unintended results. This communication and any accompanying documents are confidential and privileged.

Portfolio 52

Portfolio Clients Investments Investing 52

Sara Grillo

JUNE 2, 2022

To see this term blurred with the top advisor definition, it makes me mad because it implies that advisors who are selected on the basis of production – and this gives me the sense that this ranking had a lot to do with precisely that – are the best financial advisors. What about straightforwardness of communication? What about ethics?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Fortune Financial

MARCH 5, 2024

One powerful tool that might not be on every entrepreneur’s radar — but definitely should be — is a 401k plan. This means staying informed about plan performance, fees and compliance requirements. As your trusted financial advisors, Fortune Financial Advisors prioritize clear and transparent communication.

Retirement Planning 52

Retirement Planning Financial Advisor Retirement Taxes 52

Sara Grillo

JANUARY 9, 2023

Regulators, not just in Colorado but across the country, are seeking ways that there could be greater clarity in the disclosure and communication in the fees that flat fee advisors charge and what they provide. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. What does that mean?

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Indigo Marketing Agency

APRIL 23, 2020

I’ve talked to him extensively about what he’s doing, how he’s communicating with his clients. And so, you want to communicate regularly with valuable content that your audience is interested in. So let’s talk about what you should actually be doing this month. My dad’s an advisor.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Brown Advisory

NOVEMBER 12, 2015

This may be relevant to many families who took definitive action in 2011 in fear that favorable estate rules would be eliminated during the “fiscal-cliff” negotiations that year. Circular 230 Compliance Statement. Regulations contained in IRS Circular 230 regulate written communications from us concerning tax matters.

Planning 52

Planning Taxes Distribution Medical 52

Inside Information

OCTOBER 30, 2021

It has said that the firms themselves should define what it means, and develop policies and procedures congruent with what they believe it means.”. Rostad adds that there is anecdotal evidence that disclosure of fees and costs may be different from (more effective than) disclosures of conflicts of interest or who regulates whom.

CFP 40

CFP Commission Investments Investing 40

The Big Picture

AUGUST 15, 2023

Let me say what your compliance wouldn’t allow you to say. SEIDES: And I’ll tell you a story that’s fun about the communication of it too. the experience of investors is asset weighted by definition. SEIDES: So keep in mind the only definitive information about the bet was in Carol’s two page piece.

Management 130

Management Investments Investing Government 130

The Big Picture

APRIL 25, 2023

Brian Hamburger has been one of the leading authorities in the world of registered investment advisories, broker-dealers, SEC regulatory compliance. But I was definitely informed by my father’s study groups, you know, I knew his network of friends and colleagues. RITHOLTZ: Compliance, legal, and risk. RITHOLTZ: Right.

Compliance 162

Compliance Clients Wealth Management Management 162

Sara Grillo

APRIL 11, 2022

He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

Sara Grillo

MAY 23, 2022

Here is the definition of an advice-only financial planner: An advice-only financial planner is someone who provides only financial planning services. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. For advise on such matters, contact a legal or compliance advisor.

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

The Big Picture

JULY 26, 2022

WEAVER: Well, thankfully, we were — I really communicated a lot with Doug and Tom, and they understood. And so, coaching was an exercise — back then in 2009, it was not very well known and it was definitely an exercise in humility of saying, “I think I need some help.” They could see us getting better.

Consulting 298

Consulting Numbers Management Investments 298

The Big Picture

SEPTEMBER 10, 2024

I was a, I’m a rural guy, kind of grew up in a, you know, farm town in Illinois and in Texas, which is in Dallas, but not really a farm town, but it, you know, more rural, definitely more Midwestern southern even. And so it’s, it’s sort of managing that, all of those different constituents with communication.

Valuation 162

Valuation Clients Investments Investing 162

Sara Grillo

FEBRUARY 13, 2023

ESG vocab Before we get into it, let’s start with some basic definitions: ESG: ESG stands for “Environmental, Social, and Governance” and it’s a style of investing that purports (but does not, in reality) save the world from its evils. It’s a pretty clean situation or communication. So please subscribe! Sound good, folks?

Investments 72

Investments Investing Clients Portfolio 72

Sara Grillo

MAY 8, 2023

SARA GRILLO: Awesome, so be… Let’s just start with a real quick definition, what is IUL? I’m excited to talk about index tools should be good, and this topic needs transparency, so I’m sure I have a great conversation about it. BOBBY SAMUELSON: Not it probably is. SARA GRILLO: I do. They find that publication.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

The Big Picture

JULY 29, 2024

00:10:47 [Speaker Changed] So in the additive services that Orion offers now are financial planning, compliance, CRM services, risk and analysis portfolio construction and advisor portal and investor portal. We wanna be sure that our communications tools leverage large language models so they can be highly personalized.

Clients 147

Clients Portfolio Financial Advisor Investments 147

The Big Picture

DECEMBER 14, 2022

I definitely wanted to gain investing skills. And interestingly, I’m happy to come back to these things I learned in helping companies through mergers, particularly around things like communications and shareholder relations, and employee engagement that have now served me really well, couple decades later in my career.

Assets 162

Assets Investments Investing Portfolio 162

The Big Picture

JANUARY 24, 2023

There was XO Communication and McLeod. That’s a pretty good run of the general trend is lower, and you have equity markets from 80 at least through ‘21, rising pretty substantial, even with the 2000s being a pretty — KLINSKY: It’s definitely been a 40-year secular bull market. RITHOLTZ: I recall.

Investments 263

Investments Investing Numbers Banking 263

The Big Picture

FEBRUARY 13, 2023

RIEDER: Yeah, it was definitely dumb luck. Today, it’s a little bit different because now we’re approaching the end of — by the way, it’s not definitive, but we’re probably approaching a point where the Fed is going to pause, Europe still got a bit more to go. RITHOLTZ: — everything blew up.

Economy 147

Economy Numbers Marketing Marketing 147

Sara Grillo

SEPTEMBER 26, 2022

I do believe it should be different regulated differently from portfolio management, which is the typical definition of the registered investment advisor, but that it shouldn’t be the CFP Board that is controlling the regulatory environment for financial planners. JR: That definitely is one that should be on the disclosure even though.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

The Big Picture

JANUARY 14, 2025

Maybe we should do this out from under the compliance regulations of a broker dealer? That there’s a definitely a network effect that happens there. And if you’re gonna be a very large fund, you by definition have to put more and more of your money into the well-known large trading strategies.

Management 147

Management Investments Investing Assets 147

The Big Picture

NOVEMBER 25, 2024

You know, you run an RIA, the SEC just comes knocking every once in a while to say, Hey, just wanna make sure the compliance program’s all set up. Yeah, 00:10:11 [Speaker Changed] That’ll, that’ll definitely wake, 00:10:12 [Speaker Changed] Wake you the ice you up coffee. They had gone from nothing to 12 billion.

Portfolio 147

Portfolio Management Marketing Marketing 147

The Big Picture

DECEMBER 10, 2024

They were very interested in the company’s suite of primarily communications technologies, CC mail, Lotus Notes, because the sort of networking boom had already started up, and they saw a world where all of these PCs would be interconnected. David Roux : Lotus is eventually acquired by IBM, by coincidence.

Engineering 130

Engineering Consulting Manufacturing Investments 130

The Big Picture

MAY 16, 2023

They kept the reputation intact by communicating with their investors. RITHOLTZ: Definitely, right. Um, case anybody that says anything, non-compliant, compliance tracks that also the watch list is just sort of fun. So these people were beat up, but they were all smart. And the MIT guys… RITHOLTZ: And they had capital.

Media 290

Media Investing Investments Valuation 290

Carson Wealth

JULY 22, 2024

It has most definitely been frustrating, but we remain overweight these areas and expect the outperformance to continue the remainder of this year. High-Tech Equipment Production Is Also Surging High tech equipment production (computers, communication equipment, semiconductor chips) rose at an annualized pace of 13% in Q2.

Manufacturing 97

Manufacturing Marketing Marketing Economy 97