Nerd's Eye View

AUGUST 7, 2023

This month's edition kicks off with the news that estate planning platform Wealth.com has launched Ester, an AI-driven 'legal assistant' that uses machine learning to help advisors quickly review and extract the key information from clients' estate planning documents, as it joins FP Alpha in the competition to become 'Holistiplan for estate planning (..)

Estate Planning 246

Estate Planning Wealth Management Financial Advisor Planning 246

Abnormal Returns

JUNE 10, 2024

standarddeviationspod.com) Frazer Rice talks with David Barnard, CEO and Founder of Luminary, about technology and estate planning. fa-mag.com) The latest in financial advisortech including the launch of compliance archiving startup Archive Intel. kitces.com) What compensation levers do RIAs have to pull?

Compliance 277

Compliance Estate Planning Startup Clients 277

Yardley Wealth Management

JANUARY 28, 2025

The post Expert Insights: Estate Planning Communication and Modern HR Leadership Challenges in 2025 appeared first on Yardley Wealth Management, LLC. For more information about estate planning and wealth management services, visit yardleywealth.net and yardleyestate.net.

Estate Planning 52

Estate Planning Communication Planning Wealth Management 52

Carson Wealth

MAY 7, 2025

At the end of the period, the remaining assets are distributed to your family or other beneficiaries, free of estate and gift taxes. Compliance Challenges and Common Philanthropic Pitfalls Weve said, but it bears repeating, that philanthropic planning can be complex, especially when the amounts involved are substantial.

Compliance 52

Compliance Distribution Taxes Consulting 52

Abnormal Returns

OCTOBER 23, 2023

advisorperspectives.com) Vanilla is rolling out more AI tools for estate planning. investmentnews.com) Compliance How to conduct and document an annual compliance review. investmentnews.com) Advisers Why the myth of a big wealth transfer from Baby Boomers persists.

Compliance 162

Compliance Estate Planning Financial Advice Financial Advisor 162

Abnormal Returns

MAY 22, 2023

open.spotify.com) Austin, Texas Are you a Texas-based adviser interested working with Ritholtz Wealth Management? riaintel.com) CI Wealth The stock market did not react well to CI Financial's financial engineering. riabiz.com) Why Bain Capital invested in CI Private Wealth. Come meet the team in Austin on June 12-14th.

Financial Advising 130

Financial Advising Estate Planning Wealth Management Compliance 130

International College of Financial Planning

MARCH 31, 2023

Wealth management is an important aspect of the financial world that focuses on managing wealth to help individuals and families achieve their financial goals. Wealth management involves a range of financial services as an investment, finance, real estate, tax, and risk management.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

Fortune Financial

SEPTEMBER 25, 2023

How to Choose the Right Wealth Management Firm in Kansas City Managing your wealth is a crucial aspect of financial success and security. Let’s look at key factors to consider when selecting the ideal wealth management firm in the Kansas City metro area.

Wealth Management 59

Wealth Management Management Risk Tolerance Retirement Planning 59

Fortune Financial

SEPTEMBER 25, 2023

How to Choose the Right Wealth Management Firm in Kansas City Managing your wealth is a crucial aspect of financial success and security. Let’s look at key factors to consider when selecting the ideal wealth management firm in the Kansas City metro area.

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Diamond Consultants

FEBRUARY 11, 2025

Existing Infrastructure These firms provide scalable platforms and support to empower advisors to run a wealth management business. This approach removes compliance responsibility from the advisors plate and offloads most middle- and back-office functions, including billing and technology.

Compliance 52

Compliance Clients Management Investing 52

Wealth Management

JUNE 11, 2025

Melissa Rodriguez June 11, 2025 5 Min Read As the most significant intergenerational wealth transfer in the history of the United States unfolds, women, particularly widows, are increasingly at the forefront of estate management and disputes.

Estate Planning 225

Estate Planning Planning Wealth Management Fiduciary Duty 225

Carson Wealth

JULY 12, 2022

The first step in the competency stairway is regulatory compliance. . The securities industry weaves the Financial Industry Regulatory Authority (FINRA) and state securities commissioners into a regulatory quilt, also requiring stockbrokers and their registered agents to pass registration exams and complete annual compliance training.

Financial Advising 98

Financial Advising Financial Planning Ethics Financial Services 98

Harness Wealth

SEPTEMBER 18, 2024

Only 26% of Americans have an estate plan. If you’re thinking, “But my clients are high-net-worth…many more have an estate plan.” And you’ll see in our Q&A below, that tax advisors can bring estate planning into the conversation early on in a client relationship. What do these numbers tell us?

Taxes 52

Taxes Clients Planning Estate Planning 52

Sara Grillo

JUNE 7, 2024

I studied several of the wealth managers who work with Family Offices. Several of the wealth managers had specialists in-house such as: Chief Philanthropic Advisor, Head of Tax Planning, Family Legal Counselor, Trust Officer If you can’t hire these specialists, work out an arrangement with a close third-party with this expertise.

Financial Advisor 52

Financial Advisor Clients Executive Compensation Compliance 52

Diamond Consultants

MAY 9, 2023

Wealth management is, after all, a business. A firm’s advanced planning department or roster of estate planning attorneys, philanthropic giving advisors, and trust experts can operate as an extension of an advisor’s team. Compliance oversight – This is every advisor’s favorite punching bag.

Compliance 52

Compliance Wealth Management Clients Estate Planning 52

Harness Wealth

SEPTEMBER 23, 2024

Key Takeaways: Too many tax practices are bogged down in commoditized administrative tasks and compliance work, making it challenging to cross-sell services to expand client relationships. Additionally, wealth management and estate planning advisors are also active on the Harness Marketplace.

Taxes 52

Taxes Clients Compliance Tax Planning 52

Midstream Marketing

DECEMBER 10, 2024

You might have a webinar about planning for retirement, easy investments for beginners, or key estate planning tips. Adding these tools for modern marketing to your wealth management services practice can help you automate tasks. It also shows that you are a good guide for their financial planning.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Diamond Consultants

JULY 16, 2024

Consider these options, derived from the game plans of our advisor-clients… Expand your menu of products and services. The fee-for-service model upon which modern wealth management business is predicated works very well. It allows advisors the flexibility to charge clients within reason for a wide variety of services.

Clients 52

Clients Retirement Planning Taxes Estate Planning 52

Diamond Consultants

JUNE 28, 2023

They want to have a sense of ownership over how they run their practice—including the ability to hire and fire team members, distinguish themselves from their colleagues by marketing their business creatively, and be allowed to run their practice without as much interference from compliance. To him, all employee firms were the same.

Compliance 52

Compliance Recruitment Clients Compensation Planning 52

Indigo Marketing Agency

JUNE 3, 2020

Good Example 2: Chancellor Wealth Management. Here’s an example of a YouTube channel we recently set up for a financial advisory firm, Chancellor Wealth Management. Change the Visibility default to Private so you can send an individual link to your compliance officer to review before the video goes live, if applicable.

Financial Advisor 52

Financial Advisor Media Compliance Wealth Management 52

Sara Grillo

JULY 8, 2022

Read the blog to see what these financial advisor said about what a typical day looks like, and how someone in wealth management typically spends their time. Yesterday it was early retirement projections for a corporate executive, tomorrow it’s a call with a planner to review a client’s estate plan. hours of it.

Financial Advisor 59

Financial Advisor Financial Planner Clients Financial Planning 59

Sara Grillo

APRIL 21, 2022

Okay before I get fired up, let me move to to talking about some highly ethical things I’ve seen financial advisors do, so that we can focus our attention on increasing morality in wealth management. #1 Also, nothing in this podcast or blog can be interpreted as legal or compliance advice. 6 Minimizing pass through fees.

Ethics 52

Ethics Financial Advisor Clients Management 52

Wealth Management

JUNE 11, 2025

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 Brett Brodeski Savant Wealth Management WealthTech The Future of Wealth Management: Transformation and Innovation The Future of Wealth Management: (..)

Taxes 147

Taxes Wealth Management Estate Planning Distribution 147

Sara Grillo

DECEMBER 12, 2022

pay me for investments, for the easy work that I can outsource to a third party manager, and I’ll give you all this hard stuff for free…I don’t believe that., Matt founded Exhale Wealth Management to provide comprehensive financial planning to individuals with complex lives, most notably technology employees with equity compensation.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Wealth Management

JUNE 11, 2025

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 Brett Brodeski Savant Wealth Management WealthTech The Future of Wealth Management: Transformation and Innovation The Future of Wealth Management: (..)

Wealth Management 147

Wealth Management Management Estate Planning Planning 147

WiserAdvisor

APRIL 12, 2024

These professionals serve as trusted guides, helping individuals understand the intricacies of investment, wealth management, and financial planning to achieve their long-term goals. You must also consider your proficiency in handling administrative tasks and managing client relationships effectively.

Financial Advisor 52

Financial Advisor Clients Numbers Management 52

Sara Grillo

JUNE 20, 2022

Nate would go door to door, at first, when he was prospecting for wealth management clients. I would suggest that Edward Jones reps aspiring to call in person and venture forth inside strangers’ homes pursue safety training, either independently or to request it from the company. #3 3 Best to use a humble approach.

Financial Advisor 52

Financial Advisor Sales Commission Clients 52

Sara Grillo

APRIL 11, 2022

Please conduct your own diligence on any wealth manager you are considering hiring. He also has considerably less of a compliance, operational, and administrative burden because he is not taking custody or discretion of his clients’ assets. For advise on such matters, contact a legal or compliance advisor.

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

The Big Picture

JANUARY 21, 2025

And I think you will also, if you are at all curious about estate planning or investing or personal finance, this is not the usual discussion and I think it’s very worthwhile for you to hear this and share it with friends and family. And I, I found it to be an absolutely fascinating conversation.

Investing 147

Investing Investments Management Retirement 147

Wealth Management

JUNE 9, 2025

trillion and 121 million participant accounts along part of the $37 trillion overall in retirement assets, the pressure is causing many record keepers to dig deep and, for many, reinvent themselves or face exiting the market before their valuations drop even further just as it did for active asset managers years ago.

Wealth Management 130

Wealth Management Retirement Planning Management 130