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 224

Portfolio Wealth Management Communication Management 224

Wealth Management

SEPTEMBER 22, 2022

Valian complements the firm's established Pulse portfolio management and reporting platform.

Communication 356

Communication Portfolio Management Portfolio Management 356

Wealth Management

DECEMBER 9, 2022

Brad McMillan, managing principal and chief investment officer of Commonwealth Financial Network, explains the importance of strong communication during challenging markets.

Communication 264

Communication Management Investments Investing 264

Wealth Management

MAY 20, 2023

Preliminary results from a targeted exam indicated communications related to crypto asset securities products and services had four times the non-compliance rate of other kinds of products.

Communication 306

Communication Compliance Assets 306

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 157

Communication 157

Wealth Management

JUNE 12, 2025

What Are the Best Asset Classes for Active Management? Low-cost passive wrappers work well for core equity investing, but certain asset classes are more conducive to active management. The industry’s heyday came in the 1980s and ’90s, when stocks soared and rockstar mutual fund managers like Peter Lynch raked in assets.

Assets 148

Assets Management Wealth Management Risk Management 148

Wealth Management

NOVEMBER 5, 2024

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

Communication 277

Communication Clients Investments Investing 277

Wealth Management

JUNE 30, 2023

Our human technology columnist does his best to keep up with the latest generative AI for communications now available (or soon will be) to advisors.

Communication 305

Communication 305

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 157

Estate Planning Financial Advisor Planning Wealth Management 157

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

Nerd's Eye View

NOVEMBER 11, 2024

Advisors might consider outsourcing roles such as social media management, search engine optimization, web development, event management, and performance analytics, among other options. Advisors may also want to consider a contractor's communication style and marketing philosophy to assess compatibility with the firm's values.

Marketing 246

Marketing Marketing Communication Engineering 246

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

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

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 246

Communication Clients Investments Investing 246

Wealth Management

JUNE 18, 2025

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

Marketing 139

Marketing Marketing Communication Clients 139

Wealth Management

NOVEMBER 5, 2024

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

Communication 241

Communication Clients Investments Investing 241

Abnormal Returns

JANUARY 30, 2023

Podcasts Daniel Crosby talks with Jamie Hopkins, Managing Partner of Wealth Solutions at Carson Group, about understanding our money stories. thinkadvisor.com) Practice management How Thomas Kopelman used content marketing thoughtfully to build an advisory practice. kitces.com) How to communicate with a client leaving your practice.

Management 241

Management Nonprofit Financial Planning Communication 241

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

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

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

Nerd's Eye View

MARCH 21, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a report from Cerulli Associates found that, amidst an industry-wide trend towards comprehensive financial planning and away from pure transaction-based investment management, asset-based fees currently represent 72.4%

Financial Planner 228

Financial Planner Commission Communication Clients 228

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

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

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). Read More.

Clients 210

Clients Communication Numbers Management 210

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 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 252

Communication Clients 252

Nerd's Eye View

DECEMBER 26, 2024

Just a few decades ago, giving financial advice was largely a manual process – printing lengthy financial plans, processing physical checks, and managing paper files.

Financial Planning 245

Financial Planning Planning Financial Advice Clients 245

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

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

Wealth Management

OCTOBER 31, 2023

The modern workplace requires financial firms to move with the times.

Compliance 304

Compliance Communication 304

Nerd's Eye View

MARCH 3, 2025

This month's edition kicks off with the news that Morningstar Office will be shutting down in early 2026 as a part of Morningstar's ongoing effort to refocus on its core investment data and analytics business – forcing advisors currently using the tool to switch (which might be a net positive for many of those advisors who have long complained (..)

Estate Planning 170

Estate Planning Portfolio Management Communication Portfolio 170

Nerd's Eye View

NOVEMBER 26, 2024

Kevin is the CEO of Connecticut Wealth Management, an RIA based in Farmington, Connecticut, that oversees approximately $4 billion in assets under management for 1,100 client households. Welcome to the 413th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Kevin Leahy.

Financial Advisor 246

Financial Advisor Wealth Management Clients Planning 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

JUNE 19, 2023

A better way to implement and communicate fee increases may be one that is centered around providing more value to the client in exchange for the higher fee.

Communication 246

Communication Clients Planning Financial Advisor 246

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 166

Compliance Communication 166

Nerd's Eye View

AUGUST 28, 2024

Historically, advisors haven't had many avenues to manage clients' 401(k) plan accounts, since unlike traditional custodial investment accounts, advisors generally lack discretionary trading authority in employer-sponsored retirement plans.

Assets 246

Assets Management Clients Compliance 246