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

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

JANUARY 9, 2023

As the move to transparency in financial planning takes hold, regulations are changing in Colorado and other states. Here’s the triumph of virtue that financial planning transparency will (FINALLY) bring to planners across the country and the benefits to clients that come along with it. What should financial advisors do?

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

XY Planning Network

APRIL 1, 2024

Deciding to take the leap to start your own financial planning firm can be very scary. 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.

Compliance 94

Compliance Financial Planning Planning Management 94

XY Planning Network

APRIL 15, 2024

Deciding to take the leap to start your own financial planning firm can be very scary. 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.

Compliance 78

Compliance Financial Planning Planning Management 78

XY Planning Network

FEBRUARY 12, 2024

Deciding to take the leap to start your own financial planning firm can be very scary. 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.

Compliance 102

Compliance Financial Planning Planning Management 102

XY Planning Network

APRIL 3, 2023

If it often feels as if your to-do list never ends with administrative tasks and compliance management, on top of your regular client meetings, you’re not alone! 3 MIN READ Raise your hand if you've ever wondered how you can boost your productivity and become more efficient. ?

Financial Advisor 69

Financial Advisor CFP Compliance Management 69

XY Planning Network

MARCH 18, 2024

Deciding to take the leap to start your own financial planning firm can be very scary. 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.

Compliance 77

Compliance Financial Planning Planning Management 77

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

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

AUGUST 28, 2023

Deciding to take the leap to start your own financial planning firm can be very scary. 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.

Compliance 84

Compliance Financial Planning Planning Management 84

XY Planning Network

AUGUST 28, 2023

Deciding to take the leap to start your own financial planning firm can be very scary. 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.

Compliance 52

Compliance Financial Planning Planning Management 52

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

JUNE 13, 2022

Outside investment managers—such as TAMPs and robo-advisors—are a popular solution for advisors seeking to offer clients expert asset management services without needing to hone that expertise themselves or simply spend the time doing it (as in financial planning-only firms).

Management 52

Management Investing Investments Compliance 52

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

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

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 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

Sara Grillo

SEPTEMBER 26, 2022

We’ll discuss these questions: The CFP Board has specifically stated that it wants the CFP® mark to be a requirement for anyone who practices financial planning. John Robinson (“JR”), Founder of Financial Planning Hawaii, Inc. I am a CFA® charterholder and financial advisor marketing consultant.

CFP 59

CFP Financial Advisor Financial Planner Ethics 59

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