Sara Grillo

DECEMBER 16, 2024

The local bakery has 10 people working there, has turnover, has part time employees, and managing the day to day is the priority. Instead of trying to pitch lower fund fees or compliance, strike them in the heart. Grillo Investment Management, LLC will strive to maintain current information however it may become out of date.

Financial Advisor 52

Financial Advisor Retirement Planning Planning Consulting 52

Midstream Marketing

NOVEMBER 6, 2024

By making helpful and interesting content often, you show that you are a reliable choice for financial advice. This approach can draw in new clients who are looking for guidance in today’s complicated financial world. Trust is very important in the financial services industry. This helps you stand out from others.

Financial Advisor 52

Financial Advisor Marketing Marketing Media 52

Nerd's Eye View

FEBRUARY 17, 2025

In order to deliver the best service to their clients, financial advisors often take on responsibilities beyond giving financial advice, including compliance, marketing, team management, and other operational duties. Over time, this can easily lead to overwhelm – or, eventually, even burnout.

Compliance 182

Compliance Financial Advice Management Financial Advisor 182

Midstream Marketing

DECEMBER 10, 2024

Offering Personalized Financial Advice Through Video Marketing In today’s world, people really like visuals. This is why video marketing works well for financial advisors. The Power of Personalization in Financial Advisory In todays online world, clients want experiences that are specially designed for them.

Financial Advisor 52

Financial Advisor Marketing Marketing Clients 52

Nerd's Eye View

DECEMBER 17, 2024

Fran is the CEO of Toler Financial Group, a DBA firm under the RIA Rossby Financial, in Silver Spring, Maryland, that oversees nearly $200 million in assets under management for 280 client households.

Compliance 244

Compliance Financial Advisor Financial Advice Clients 244

Abnormal Returns

OCTOBER 7, 2024

(thinkadvisor.com) Creative Planning shows 'institutional investors are placing a premium on integrated wealth management businesses relative to aggregators.' citywire.com) Advisortech AI is coming for the compliance stack. advisorservices.schwab.com) Advisers More people say they are willing to pay for financial advice.

Compliance 289

Compliance Wealth Management Financial Advice Government 289

Abnormal Returns

NOVEMBER 7, 2022

standarddeviationspod.com) Compliance Jason Zweig, "In 30 years of writing about the financial-advice industry, I never learned that advisers can provide less-comprehensive disclosures than stockbrokers." wsj.com) Advisers are scrambling to get into compliance with new advertising rules.

Compliance 279

Compliance Wealth Management Advertising Financial Advice 279

Nerd's Eye View

SEPTEMBER 13, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.

Financial Planner 246

Financial Planner Compliance Fee Only Communication 246

Abnormal Returns

OCTOBER 16, 2023

(wiredplanning.com) Daniel Crosby talks with Matt Reiner partner at Capital Investment Advisors about the future of financial advice. riabiz.com) Compliance Compliance is one of the biggest concerns of advisers. riabiz.com) Compliance Compliance is one of the biggest concerns of advisers.

Compliance 262

Compliance Financial Planner Financial Advice Investment Advisor 262

Nerd's Eye View

NOVEMBER 6, 2023

This month's edition kicks off with the news that Practice Intel has launched a new "growth platform" centered around quantifying the quality of an advisor's client relationships with an all-in "Relationship Quality Index" (RQI) – which while potentially valuable in helping advisors understand and improve their client experience (and subsequently (..)

Compliance 246

Compliance Valuation Clients Financial Advisor 246

Nerd's Eye View

SEPTEMBER 6, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the Treasury Department has finalized rules requiring most SEC-registered RIAs to implement risk-based Anti-Money Laundering and Countering the Financing of Terrorism programs, including a requirement to report suspicious (..)

Financial Planner 247

Financial Planner Tax Planning Compliance Financial Advice 247

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

Abnormal Returns

MARCH 6, 2023

(citywire.com) FutureAdvisor has transferred all its clients to Ritholtz Wealth Management. investmentnews.com) The latest in adviser fintech news including a look at how ChatGPT will affect the provision of financial advice. fa-mag.com) Vanguard is closing its UK financial planning unit.

Compliance 147

Compliance Wealth Management CFP Financial Advice 147

Abnormal Returns

OCTOBER 23, 2023

riabiz.com) AI Is AI an existential threat to the business of financial advice? investmentnews.com) Compliance How to conduct and document an annual compliance review. (investmentnews.com) Goldman Sachs ($GS) admits that the purchase of United Capital was a mistake.

Compliance 162

Compliance Estate Planning Financial Advice Financial Planning 162

Nerd's Eye View

JULY 8, 2024

Our major focus this year has been on supporting the growing number of multi-advisor firms buying Group and Enterprise subscriptions … and then needing to manage all of their Kitces Group members! Along with the expanded CE offerings, we've also been reinvesting heavily into making the Kitces platform easier to use. and other roles.

Ethics 239

Ethics Education Financial Advice Communication 239

Abnormal Returns

MAY 22, 2023

(open.spotify.com) Austin, Texas Are you a Texas-based adviser interested working with Ritholtz Wealth Management? thereformedbroker.com) AI How financial advisers can leverage ChatGPT. kitces.com) How will AIs that dispense financial advice be regulated? Come meet the team in Austin on June 12-14th.

Financial Advising 130

Financial Advising Estate Planning Wealth Management Compliance 130

Nerd's Eye View

DECEMBER 6, 2023

However, the more recent rise of financial coaching models has introduced complexity, particularly for those offering advice on financial topics adjacent to investments where the need to register as investment advisers with the SEC or state securities authorities isn't always obvious.

Investing 247

Investing Investments Retirement Planning Financial Advising 247

Nerd's Eye View

AUGUST 24, 2022

In his latest article for the Nerd’s Eye View blog, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, laid out the statutory requirements for RIA advisory agreements and what to include in the agreement when describing the RIA’s services and fees.

Electronics 242

Electronics Clients Retirement Planning Financial Advice 242

Nerd's Eye View

AUGUST 24, 2022

In his latest article for the Nerd’s Eye View blog, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, laid out the statutory requirements for RIA advisory agreements and what to include in the agreement when describing the RIA’s services and fees.

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

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

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?

Financial Advisor 59

Financial Advisor Financial Advice Wealth Management Compliance 59

Million Dollar Round Table (MDRT)

JULY 23, 2024

There were 36,000 financial advisors in my country. We had little chance to adjust to the new world of financial advice in Australia. Now, three years after the changes were announced, there are about 15,000.

Financial Advice 103

Financial Advice Financial Advisor Education Clients 103

Sara Grillo

OCTOBER 31, 2022

If they tell you they charge a percentage of assets under management, and you see that they also charge commissions, that should indicate that they either weren’t be that honest intentionally or weren’t careful about how they explained their fees to you, both of which are of concern. Are they just providing financial planning?

Financial Advisor 110

Financial Advisor Commission Clients Compliance 110

Steve Sanduski

OCTOBER 24, 2023

But there’s a fruitful middle ground between AI’s future potential and current limitations where advisors can find practical ways to streamline processes and focus more of their time on the human side of financial advice. Ethical and compliance challenges advisors need to address as they add AI to their workflows.

Ethics 59

Ethics Wealth Management Compliance Financial Advice 59

Sara Grillo

OCTOBER 21, 2022

In this blog, I interview paraplanning professionals to get their take on what the role is, what it pays, and what it potential is for someone who wants to get a job as a financial paraplanner, possibly as a stepping stone to other wealth management jobs. I am a CFA® charterholder and I used to be a financial advisor.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Harness Wealth

SEPTEMBER 3, 2024

FOR IMMEDIATE RELEASE NEW YORK, NY — September 3, 2024: Harness , a New York-based fintech startup that seeks to make bespoke tax & financial advice accessible to more households, is excited to announce the appointment of Will Bressman to its Board of Directors.

Financial Advice 52

Financial Advice Financial Services Startup Compliance 52

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

Registration Standards for Financial Advisors. The first step in the competency stairway is regulatory compliance. . If a financial service professional represents an insurance company, they must be legally appointed by that company as an agent. CFP ® – CERTIFIED FINANCIAL PLANNER.

Financial Advising 98

Financial Advising Financial Planning Ethics CFP 98

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

Indigo Marketing Agency

DECEMBER 30, 2021

This completely revolutionizes the way financial advisors can market their services. But as an advisor, how do you effectively use the new testimonial rule in your marketing without running into compliance issues? The same is true for financial advice. That’s where we come in. Need a Testimonial Rule Refresher?

Financial Advisor 52

Financial Advisor Compliance Clients Accounting 52

Indigo Marketing Agency

MAY 4, 2022

This completely revolutionizes the way financial advisors can market their services. But as an advisor, how do you effectively use the new testimonial rule in your marketing without running into compliance issues? The same is true for financial advice. That’s where we come in. Need a Testimonial Rule Refresher?

Compliance 52

Compliance Clients Financial Advisor Accounting 52

Diamond Consultants

MAY 9, 2023

Wealth management is, after all, a business. 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.

Compliance 52

Compliance Wealth Management Clients Estate Planning 52

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

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. Services: I offer investment management as an add-on to financial planning.

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. What to look for — and ignore — when you’re hiring a financial planner. Don’t be fooled!

Financial Advisor 52

Financial Advisor Fiduciary Duty Compliance Financial Advice 52