Nerd's Eye View

JUNE 12, 2024

Which means that when an advisor recommends a certain investment strategy for a client, their standards of care should dictate that they first make sure that the strategy is within the client's tolerance for risk. Read More.

Fiduciary Duty 245

Fiduciary Duty Risk Tolerance Investments Investing 245

International College of Financial Planning

MARCH 31, 2023

Wealth management involves a range of financial services as an investment, finance, real estate, tax, and risk management. Wealth managers specialize in managing wealth and providing financial advice to their clients.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

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

JUNE 2, 2022

Investment performance isn’t an explicit component because not all advisors have audited results and because performance figures often are influenced more by clients’ risk tolerance than by an advisor’s investment-picking abilities. Selling a product does not equal financial advice. ” Huh?

Financial Advisor 69

Financial Advisor Clients Ethics Numbers 69

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. The industry is typically about the implementation aspect of financial advice not educating and empowering the client.

Financial Planner 52

Financial Planner CFP Financial Planning Education 52

Midstream Marketing

AUGUST 13, 2024

Because of new rules and compliance needs, financial advisors must make sure their marketing activities meet industry standards. To define your target audience, consider things like age, income, investment goals, risk tolerance, job, and lifestyle. These professionals could have clients that need financial advice.

Financial Market 52

Financial Market Planning Marketing Marketing 52

Harness Wealth

APRIL 29, 2025

A single oversight in tax preparation could potentially trigger claims that put personal assets at risk without proper structural safeguards. Some require extensive record-keeping, regular board meetings, and additional compliance filings, while others maintain relatively straightforward compliance requirements.

Taxes 52

Taxes Compliance Distribution License 52