Nerd's Eye View

DECEMBER 27, 2023

Because on the one hand, it's necessary to understand how technology processes and analyzes client information to produce its output to have a reasonable basis to rely on that output to make a recommendation in the client's best interest.

Financial Advice 246

Financial Advice Communication Compliance Clients 246

Nerd's Eye View

NOVEMBER 6, 2023

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: FinanceHQ has launched as a new digital lead generation platform for financial advisors, which takes a more niche-focused approach to matching prospective clients with advisors – representing a bet that capturing prospects (..)

Compliance 246

Compliance Valuation Clients Financial Advisor 246

BlueMind

JULY 15, 2022

Category: Compliance. The Significance Of Financial Compliance Financial compliance requires all actions, procedures, guidelines, and business culture to abide by the rules and regulations set by the regulatory authorities of the financial market. Related: Compliance and Automation – An Ideal Unison!

Compliance 98

Compliance Financial Advisor Certified Financial Planner Clients 98

Indigo Marketing Agency

SEPTEMBER 6, 2022

We’re happy to announce that Indigo Marketing Agency was featured in Bob Veres’s August 2022 issue of Inside Information , a go-to resource for financial planning, financial advisor, and investment advisor professionals. The same is true for financial advice. Testimonials provide credibility and social proof.

Marketing 97

Marketing Marketing Financial Advisor Compliance 97

Nerd's Eye View

JUNE 12, 2024

Or if an advisor knowingly misled a client in giving information that led them to make an investment decision, they could be penalized for giving fraudulent advice under state or Federal law. Because ultimately, it's better to be surrounded by others who take care in advising their clients than to be the only one doing so!

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investing Investments 245

Nerd's Eye View

AUGUST 24, 2022

To start, the agreement should contain basic information about the adviser-client relationship, including who the client is (e.g., a single person, a couple, a business, or a retirement plan) and the date on which the agreement will become effective.

Electronics 242

Electronics Clients Retirement Planning Financial Advice 242

Nerd's Eye View

AUGUST 24, 2022

To start, the agreement should contain basic information about the adviser-client relationship, including who the client is (e.g., a single person, a couple, a business, or a retirement plan) and the date on which the agreement will become effective.

Electronics 238

Electronics Clients Retirement Planning Financial Advice 238

Nerd's Eye View

JANUARY 17, 2024

While it could be decades before we know those answers, at the moment, professionals across every industry, including financial advice, are working to learn how they can leverage this new and remarkable tool to make their practices more efficient. Read More.

Financial Advice 130

Financial Advice Financial Planning Clients Planning 130

Sara Grillo

APRIL 19, 2024

But before we get into it… Look, there are alot of schmucks out there hawking crap products disguised as financial advice. I’m not a lawyer – so please don’t interpret anything I say here as legal advice. Do your own diligence when you are seeking financial advice. Don’t be fooled!

Financial Advisor 97

Financial Advisor Financial Advice Accounting Clients 97

Sara Grillo

DECEMBER 11, 2023

There are a lot of people who consider their fees low but here’s a financial advisor who claims to be charging 60-80% lower fees than the “full-service” wealth management firms who are his competition. What does low fee financial advice actually look like, from the inside? Does he actually do this? Don’t be fooled!

Financial Advisor 59

Financial Advisor Financial Advice Wealth Management Compliance 59

Sara Grillo

OCTOBER 31, 2022

In this blog, Scott Salaske of Firstmetric and I discuss the proper way to read a Form ADV so that you can get the information you need to make an informed choice and avoid working with a financial advisor who is a lying, deceptive grifter. This is super important for anyone looking to pick a good financial advisor.

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

Sara Grillo

OCTOBER 21, 2022

The Transparent Advisor Movement’s mission is to promote ideals of clarity, modesty, integrity, dignity, and client advocacy in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Indigo Marketing Agency

OCTOBER 10, 2023

As a financial professional, you know that providing financial advice is a highly personalized service. What’s more, if your content is jam-packed with valuable information, it can catch the attention of new readers and turn curious readers into committed clients. Compliance and Regulations.

Compliance 59

Compliance Financial Advisor Clients Financial Advice 59

Sara Grillo

JUNE 24, 2024

But before we get into it… Look, there are alot of schmucks out there hawking crap products disguised as financial advice. Please subscribe to my newsletter to receive updates that raise awareness of consumer financial issues. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Insurance 59

Insurance Math Financial Advice Compliance 59

Sara Grillo

NOVEMBER 8, 2022

You should get this run by compliance before publishing any of this text. You should ask compliance for them. Before we get into it, I’m assuming you’re visiting this page because you are a flat fee financial advisor. Because transparency in financial advice is awesome! Please note: This is just a model.

Compliance 52

Compliance Financial Advice Wealth Management Ethics 52

Carson Wealth

JULY 12, 2022

I could also be fairly sure that Tammy is a licensed insurance agent and that she has access to sophisticated software tools and may or may not engage in financial planning. I would need more information before being able to discern if Tammy is a fiduciary and as such, would be required to act in her client’s best interest. .

Financial Advising 98

Financial Advising Financial Planning Ethics Financial Services 98

International College of Financial Planning

MARCH 31, 2023

AI-powered tools can help financial institutions identify fraud, automate routine tasks, and provide personalized financial advice to customers. Machine learning algorithms can analyze vast amounts of data to identify patterns and trends, which can inform investment decisions and help institutions manage risk more effectively.

Startup 52

Startup Banking Financial Services Compliance 52

Diamond Consultants

MAY 9, 2023

Considering that question first from the advisor’s perspective, most can articulate exactly the services they are providing to warrant the fee they charge clients: financial planning, investment management, safe custody of assets, overall financial advice, etc. But the firm side of the equation can be harder to quantify.

Compliance 52

Compliance Wealth Management Clients Estate Planning 52

AdvisorPR

MAY 13, 2020

If you are an RIA, you should have some of this information already outlined in your Business Continuity Plan (BCP) to pull from, but turning it into a focal point and consumer-friendly message is a tremendous, timely opportunity to showcase your availability. Explain why you’ve created a Digital Storefront Policy.

Communication 52

Communication Accounting Financial Advice Clients 52

Sara Grillo

AUGUST 25, 2023

Please subscribe to my newsletter to receive updates that raise awareness of consumer financial issues. It will teach you how to avoid shenanigans, crap products, and other scummy practices that are unfortunately common in financial advice. Nate Seiler, CFP Avg account size: $115,000 Services: I offer financial strategies.

Financial Advisor 52

Financial Advisor Accounting License Financial Planning 52

Sara Grillo

DECEMBER 22, 2023

But before we get to the podcast… Look, there are alot of schmucks out there hawking crap products disguised as financial advice. Please subscribe to my newsletter to receive updates that raise awareness of consumer financial issues. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 52

Financial Advisor Fiduciary Duty Compliance Financial Advice 52

Midstream Marketing

APRIL 14, 2025

Sites like Facebook, LinkedIn, and Twitter allow advisors to share valuable content, engage with followers, and show their expertise in the financial industry. When financial advisors share helpful articles, blog posts, and videos on social media, they can show their knowledge and give good financial advice.

Financial Advisor 52

Financial Advisor Media Clients Financial Guidance 52

Tucker Advisors

NOVEMBER 11, 2021

Today we will show you how to grow on Twitter as a financial advisor. Before we dive in, we want to explain how this can inform and grow your financial advisory practice. Financial advisors have a vibrant community on Twitter called #FinTwit. The advice that we seek and choose to take in is everywhere around us.

Financial Advisor 52

Financial Advisor Accounting Financial Advice Media 52

Midstream Marketing

APRIL 7, 2025

Explore SEO best practices, compliance considerations, and tips for targeting specific demographics. Introduction In today’s digital world, having a strong online presence is essential for financial advisors who want to succeed. This builds trust and makes you a trusted source of information in a complex business.

Financial Advisor 52

Financial Advisor Clients Media Engineering 52

Harness Wealth

OCTOBER 23, 2023

While there may be some overlap, accounting advisory services should not be mistaken for traditional financial planning or for Client Accounting Services (CAS). Generally speaking, CAS accounting focuses more on compliance work and one-off needs, whereas advisory accounting goes into larger, more nuanced strategic decision-making.

Accounting 52

Accounting Taxes Strategic Planning Estate Planning 52

Sara Grillo

DECEMBER 12, 2022

Others feel that is too subjective a decision and that the client should be given the full information that way they are informed enough to judge for themselves. Scott Salaske is the founder and CEO of Firstmetric, a flat fee financial advisor firm in Troy, Michigan. If not, then why is it necessary to do so? Doug Twiddy.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Sara Grillo

MARCH 13, 2023

The Transparent Advisor Movement’s mission is to promote ideals of clarity, modesty, integrity, dignity, and client advocacy in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. Also, nothing in this podcast or blog can be interpreted as legal or compliance advice.

Financial Advisor 59

Financial Advisor Assets License Management 59

Sara Grillo

APRIL 21, 2022

I have a weekly 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. Ethics matter in financial advice! For advise on such matters, contact a legal or compliance advisor.

Ethics 52

Ethics Financial Advisor Clients Management 52

Sara Grillo

JANUARY 9, 2023

The move to financial planning transparency is aflame! in all aspects of financial advice, with a special focus on Advice Only, Flat Fee, and Hourly service models. Grillo Investment Management, LLC will strive to maintain current information however it may become out of date. Client advocacy.

Financial Planning 52

Financial Planning Planning Financial Planner CFP 52

Midstream Marketing

NOVEMBER 6, 2024

The Role of Content Marketing in Finance Content marketing for financial advisors is about providing useful information to the people you want to reach. It helps potential clients understand tough financial topics. You should share resources that connect to their financial goals and concerns.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 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. Selling a product does not equal financial advice.

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

Midstream Marketing

APRIL 21, 2025

Introduction In our digital world, email marketing is still a strong way for financial advisors to reach their target audience. A good email sequence can attract new prospects, inform clients, and lead to more sales. Instead of flooding prospects with random messages, you give useful information that fits their needs and interests.

Financial Advisor 52

Financial Advisor Clients Communication Financial Services 52

Midstream Marketing

AUGUST 13, 2024

When you talk to them often, share helpful information, and give them great experiences, you make these connections stronger. Key Challenges in Financial Advisor Marketing Today In today’s fast-changing digital world, financial advisors face special challenges in finding potential clients. There is a lot of information online.

Financial Market 52

Financial Market Planning Marketing Marketing 52

The Big Picture

DECEMBER 6, 2022

when I first moved from Spain, and I learned a lot because I spent a lot of time with financial advisors, which, as you know, is a key segment of our client base today. What is the financial advice world like in Europe? So a phenomenal learning experience with both Jefferies and Morgan Stanley. What’s it like in Spain?

Clients 159

Clients Investments Investing Management 159

Sara Grillo

MAY 23, 2022

This interview with Cody Garrett, CFP, of Measure Twice Financial was mind-blowing. It’s so clear to me what the future of financial advice is – what it should be – and what it will be. Why should I have to wait for that information?”. He is one of the leaders of the advice only movement.

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

Inside Information

OCTOBER 30, 2021

Yes,” says Rostad. “As I look across the investment advisory world, I don’t see much evidence of individuals remembering that fiduciary is a core differentiator in financial advice. He notes in passing that, on its ADV, it takes Ameriprise 16 pages to answer the question: how do we get paid?

CFP 40

CFP Commission Education Investments 40

Indigo Marketing Agency

MAY 5, 2020

So we at RLC supplement that with the annual 5500 information and/or auditor reports that might be out there on the plans to give you a very deep and holistic picture of what we call the retirement DNA of your clients and prospects. And they’re going to need financial advice and guidance as to whether annuitize or a lump sum.

Retirement 52

Retirement Economics Retirement Planning Financial Planning 52