XY Planning Network

JUNE 5, 2023

We rounded up some of XYPN's best resources for advisors who want to launch their own financial planning firms. From tackling compliance to creating a business plan and everything in between, this roundup of resources will set you up for firm launch success.

Financial Advisor 62

Financial Advisor Compliance Financial Planning Business Planning 62

Sara Grillo

OCTOBER 21, 2022

For those looking to crack in and get a job at an RIA firm and become a financial advisor – good news! I am a CFA® charterholder and I used to be a financial advisor. I have a weekly newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.”

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

XY Planning Network

DECEMBER 19, 2022

Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors be successful. 5 MIN READ. As 2022 comes to a close, we rounded up our top 10 most-viewed blogs published this year.

Financial Advisor 74

Financial Advisor Fee Only Financial Planner Financial Planning 74

XY Planning Network

JUNE 5, 2023

We rounded up some of XYPN's best resources for advisors who want to launch their own financial planning firms. From tackling compliance to creating a business plan and everything in between, this roundup of resources will set you up for firm launch success.

Financial Advisor 52

Financial Advisor Compliance Financial Planning Business Planning 52

Sara Grillo

MARCH 22, 2024

Please note: This list of flat fee and advice-only advisors by state is not an endorsement of any particular individual, their firm, or their services; please do your own research when selecting a financial advisor. If you are considering hiring a financial advisor, please do your own research.

Financial Planning 52

Financial Planning Fee Only Financial Planner Financial Advisor 52

XY Planning Network

FEBRUARY 20, 2023

There are customers and employees, marketing and keeping an eye on industry trends, cash flow and compliance. 8 MIN READ There are a million things to keep track of when running a business. With these come a number of different dates to keep track of, which as a small business owner or a solopreneur can get overwhelming, fast. to address!

Taxes 68

Taxes Financial Advisor Compliance Numbers 68

XY Planning Network

APRIL 1, 2024

How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?

Compliance 94

Compliance Financial Planning Planning Management 94

XY Planning Network

APRIL 15, 2024

How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?

Compliance 78

Compliance Financial Planning Planning Management 78

XY Planning Network

FEBRUARY 12, 2024

How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?

Compliance 102

Compliance Financial Planning Planning Management 102

XY Planning Network

MARCH 18, 2024

How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?

Compliance 77

Compliance Financial Planning Planning Management 77

Sara Grillo

APRIL 11, 2022

Today I have Rick Ferri with me who is an hourly advisor, a CFA charterholder, a Marine, and the host of the Bogleheads podcast. I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. What is an hourly financial advisor?

Financial Advisor 52

Financial Advisor Portfolio Clients Management 52

XY Planning Network

AUGUST 15, 2022

Let’s dive into several ways to keep your compliance organized beyond the filing cabinet. It can evoke a certain amount of nerves on its own (especially if it’s your first time!) Double that stress if you are not well organized.

Compliance 81

Compliance Fee Only Financial Advisor 81

XY Planning Network

AUGUST 28, 2023

How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?

Compliance 84

Compliance Financial Planning Planning Management 84

XY Planning Network

NOVEMBER 14, 2022

For some financial advisors, it may have been decades—because until recently, financial advisors who did not hold a professional designation were not required to complete any continuing education. It may have been quite a while since you sat through a college course or studied to pass a Series exam.

Education 87

Education Financial Advisor Clients Fee Only 87

XY Planning Network

AUGUST 28, 2023

How do I manage compliance? While the questions are the same for advisors starting their own RIA, their decisions are as individual as the advisors making them. And actually "leaping" can feel overwhelming. There are so many decisions and responsibilities. How am I going to make this work? What business model should I use?

Compliance 52

Compliance Financial Planning Planning Management 52

Sara Grillo

JANUARY 9, 2023

What are the changes in Colorado investment advisor regulations regarding financial planning? What is happening in other states regarding reform of financial planning regulation, and why we expect these changes to become more widespread. What should financial advisors do? Colorado Department of Regulatory Agencies.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

XY Planning Network

JUNE 13, 2022

Outside managers offer affordable investment management services for smaller accounts and can be a wonderful option for advisors and their clients, just keep in mind that leveraging an outside manager comes along with some regulatory considerations and compliance to-dos.

Management 52

Management Investing Investments Compliance 52

Inside Information

MAY 30, 2023

Another uncomfortable fact is that these BDs have enormous compliance departments which supervise all of the communications put out by the reps and their offices—which is required by FINRA. The compliance people have to pre-approve their communications. Sales are important, but the BD executives won’t be talking about that.

Communication 40

Communication Sales Compliance Insurance 40

Sara Grillo

MAY 8, 2023

Listen to this if you are a financial advisors or consumer who wants to see through the crap and make better decisions about whether IUL is good for you (or your client) or NOT. I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors.

Insurance 59

Insurance Clients Financial Advisor Accounting 59

XY Planning Network

JANUARY 16, 2023

When advisors start a new job with a broker-dealer or RIA, likely the last thing they’re concerned about is leaving it—or reading the fine print on their employment agreement regarding terms they may be bound by if they depart. 4 MIN READ. New year, new firm?

Clients 72

Clients Assets Management Recruitment 72

Sara Grillo

MAY 23, 2022

I am a CFA® charterholder and financial advisor marketing consultant. I have a newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.” I am an irreverent and fun marketing consultant for financial advisors. So please subscribe!

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

Sara Grillo

SEPTEMBER 26, 2022

I am a CFA® charterholder and financial advisor marketing consultant. I have a newsletter in which I talk about financial advisor lead generation topics which is best described as “fun and irreverent.” . I am an irreverent and fun marketing consultant for financial advisors. Get ready for a rumble, folks!

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

Sara Grillo

MARCH 16, 2024

The Transparent Advisor Movement is taking Kansas City! Immersion2025 will be the second advice-only and flat fee financial advisor conference in our industry’s history. This was the first and largest in-person gathering of flat fee advisors! Will you join us? Hotel details to be announced later.

Financial Advice 52

Financial Advice Financial Advisor Consulting Communication 52

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. And I would constantly hear them frustrated by the compliance department. HAMBURGER: They were just blaming compliance for everything they couldn’t do. RITHOLTZ: Right.

Compliance 152

Compliance Wealth Management Clients Management 152