Weekend Reading For Financial Planners (May 3–4)
Nerd's Eye View
MAY 2, 2025
a ski chalet), assessing whether it will lead to greater overall wellbeing, or, alternatively, more stress, is more challenging Enjoy the 'light' reading!
Compliance Financial Advisor Financial Planner 
Weekend Reading For Financial Planners (September 14–September 15)
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.
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Weekend Reading For Financial Planners (Aug 6-7)
Nerd's Eye View
AUGUST 5, 2022
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC has issued a new bulletin clarifying the responsibilities of brokers under Regulation Best Interest (Reg BI). Enjoy the ‘light’ reading!
Weekend Reading For Financial Planners (January 27-28)
Nerd's Eye View
JANUARY 26, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news of a survey indicating that about 90% of financial advisors would switch firms based on bad technology at their current firm, and that 44% have already done so.
Weekend Reading For Financial Planners (July 27-28)
Nerd's Eye View
JULY 26, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that Charles Schwab's latest RIA benchmarking study shows that firms saw significant AUM growth in 2023, thanks in part to strong equity market performance, but also thanks to organic growth initiatives that brought in additional (..)
Weekend Reading For Financial Planners (June 24-25)
Nerd's Eye View
JUNE 23, 2023
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that amid a flurry of SEC-proposed rules for investment advisers, the Investment Adviser Association this week called on the regulator to assess whether the compliance burden these regulations would put on advisers outweighs (..)
Weekend Reading For Financial Planners (September 7–September 8)
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 (..)
Weekend Reading For Financial Planners (Sept 24-25)
Nerd's Eye View
SEPTEMBER 23, 2022
While the new rule allows financial advisors to proactively use testimonials (from clients), endorsements (from non-clients), and highlight their own ratings on various third-party websites, the SEC’s warning suggests that advisory firms will want to take care to abide by the compliance requirements linked to the new rule.
Weekend Reading For Financial Planners (May 4-5)
Nerd's Eye View
MAY 3, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a recent study indicates that nearly a third of advisors in the independent broker-dealer channel have considered transitioning to the RIA channel during the past year as they seek higher payouts and not just "independence" but (..)
Weekend Reading For Financial Planners (February 17-18)
Nerd's Eye View
FEBRUARY 16, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a study from Cerulli Associates indicates a lack of fee transparency represents a significant hurdle for many investors when considering working with a financial advisor.
Weekend Reading For Financial Planners (February 3-4)
Nerd's Eye View
FEBRUARY 2, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a Morningstar survey has found that financial advisory clients are more likely to stick with their advisor for emotional reasons rather than investment returns alone.
Weekend Reading For Financial Planners (June 1-2)
Nerd's Eye View
MAY 31, 2024
Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the Financial Planning Association and Money.com are planning to publish a “Best Financial Advisors” list based on advisors’ education, credentials, and experience, as well as harder-to-quantify (..)
Top Compliance Challenges Financial Advisors Face
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!
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Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business
Indigo Marketing Agency
FEBRUARY 19, 2025
Back in the day, financial planners used to be able to place ads in the local paper and Yellow Pages to get clients. Of course, this is a scenario that leaves zero time to actually serve financial practice clients and manage their money! But thats still not good enough for financial planners, given the highly regulated industry.
Our Top Blogs of 2023 for Independent Financial Advisors
XY Planning Network
DECEMBER 18, 2023
Over the past year, we've published articles written with one purpose in mind: to help independent financial advisors be successful. From RIA compliance best practices to using behavioral marketing tactics to get more clients, this list is loaded with one helpful resource after another to send you into 2024.
#FA Success Ep 342: Scaling To $1M Of Financial Planning Fee Revenue By Specializing In The Divorce Niche, With Nancy Hetrick
Nerd's Eye View
JULY 18, 2023
Welcome back to the 342nd episode of the Financial Advisor Success Podcast ! Nancy is the Founder and CEO of Smarter Divorce Solutions, a consulting firm based in Phoenix, Arizona that provides financial expertise to individuals and couples (and sometimes, mediators and attorneys) going through the divorce process.
Top 10 Tips for Financial Advisor Marketing Campaigns
Midstream Marketing
DECEMBER 10, 2024
By adopting these campaigns, advisors can achieve better results, connect with their target audience, and grow their business successfully. Introduction In todays challenging market, financial advisors need strong financial advisor marketing strategies. This is why video marketing works well for financial advisors.
Our Top Blogs of 2022 for Independent Financial Advisors
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.
How to get started marketing as a financial planner
Sara Grillo
MARCH 1, 2024
In this blog we discuss how to get started in financial planner marketing without spending a gazillion dollars! I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. Please sign up here ! Please sign up here !
Get a job as a Financial Paraplanner at an RIA firm and ignore the schmucky wirehouse and insurance jobs!
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.”
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What does a financial advisor do? (day in the life of a financial advisor)
Sara Grillo
JULY 8, 2022
Here are real accounts of what a day in the life of a financial advisor entails, from real professional financial advisors. Why did I find it necessary to write about the day in the life of a financial advisor? I am a CFA® charterholder and financial advisor marketing consultant.
What type of financial advisor is right for you? Questions you should ask.
Walkner Condon Financial Advisors
APRIL 21, 2023
What does it mean to be a Fee-Only financial advisor ? Fee-Only financial advisors and firms receive no sales-related compensation or incentives. This can include mutual funds, insurance policies, annuities, and other financial products. At Walkner Condon, all of our advisors are fiduciaries for our clients.
Make Simplicity Your Superpower
NAIFA Advisor Today
APRIL 25, 2024
Richard Dobson is a Certified Financial Planner (CFP) who strives to simplify communication between clients and financial advisors. He is also a NAIFA member and has previously served as a former FINRA Broker Dealer Chief Compliance Officer (CCO). Richard is the author of Make Simplicity Your Superpower!
What does it mean to be a Fee-Only financial advisor?
Walkner Condon Financial Advisors
APRIL 17, 2023
Fee-Only financial advisors and firms receive no sales-related compensation or incentives. Fee-Only financial advisors are most often compensated as a percentage of assets (AUM), though also may be paid hourly, as a retainer, or as a flat fee, depending upon the planner you choose.
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Advice-only financial planners are stealing the show!
Sara Grillo
MAY 23, 2022
What’s up with these “advice-only financial planners?” 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.” What is an advice-only financial planner?
5 Good Elements of a Financial Advisor
International College of Financial Planning
OCTOBER 5, 2021
In this write up we look at the five most important elements of a Financial Advisor and the reasons it is important to have these traits to succeed in the industry. Are you exploring the career option as a Financial Advisor? You are about to choose one of the fastest-growing career options in India.
Comparing College Savings Options: 529 Plans, Roth IRAs, and Real Estate Investments
MainStreet Financial Planning
JULY 11, 2024
As a parent and financial planner, ensuring that we make the smartest financial decisions for our families is crucial. Each has unique benefits and drawbacks, and understanding these can help you decide which fits best with your financial situation, risk tolerance, and goals.
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Don’t fall for the BS – use these RAW and REAL tips to find a financial advisor!
Sara Grillo
DECEMBER 22, 2023
There’s a ton of bogus crap advice out there that people doll out when they are trying to convince you to hire them as a financial advisor. Use these tips to find a good financial advisor and avoid the lying grifters! I was recently featured in a MarketWatch article about how to find a good financial advisor.
This broker vs. financial advisor debate got ABSOLUTELY crazy!
Sara Grillo
DECEMBER 12, 2022
Watch as all h&#@ breaks loose discussing the question of broker vs. financial advisor, commissions, fees, value, and more! I am a CFA® charterholder and financial advisor marketing consultant. I am an irreverent and fun marketing consultant for financial advisors. Join the Transparency Advisor Movement.
What Do Financial Adviser Designations Mean? What are the Letters after a Name?
Carson Wealth
JULY 12, 2022
In this blog, we’ll break down industry jargon, share what various credentials indicate and explain why the financial services industry is so regulated. . Registration Standards for Financial Advisors. The first step in the competency stairway is regulatory compliance. . CFP ® – CERTIFIED FINANCIAL PLANNER.
List of Advice Only Planners
Sara Grillo
DECEMBER 13, 2024
Advice-only financial planning is fee-only comprehensive financial planning without the expectation or even the option to manage any client investments. Financial planning is offered as a stand-alone product; it is the only thing that an advice-only financial planner does. If you have questions, please contact me.
Saving investors from the “Humpty Dumpty portfolio” with hourly financial advisor Rick Ferri, CFA
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?
12 Best Paying Jobs in Finance in 2023
Good Financial Cents
DECEMBER 14, 2022
Bureau of Labor Statistics, employment numbers for Financial Managers are expected to rise by 17% over the next decade , faster than the average for all occupations. Financial managers are similar to personal financial advisors, except they monitor businesses’ financial well-being instead of individuals.
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Flat fee advisor list by state
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.
A Financial Advisor’s Guide to YouTube
FMG
OCTOBER 2, 2023
Video marketing is one of the most powerful tools for financial advisors. However, many financial advisory firms have hesitated to start utilizing video marketing – either not knowing how to start or believing that it wouldn’t be a good investment of their time since their prospects aren’t spending time on YouTube.
Financial planning transparency is FINALLY upon us (whoo hooo!!!!!!!!!!!!)
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.
Reversing a Roth IRA Conversion
Harness Wealth
APRIL 16, 2025
Many financial planners view Roth conversions as a hedge against future tax increases, considering current federal debt levels and projected entitlement spending. This systematic approach ensures compliance and optimal tax outcomes.
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Understanding Recent Updates to Inherited IRA Rules and How It Could Impact You
WiserAdvisor
OCTOBER 9, 2023
Noncompliance with the rules can lead to financial penalties, and a lack of awareness can mean missed opportunities for maximizing the financial benefits of the inherited assets. A financial advisor can be helpful here to help you understand any tax implications. What you should do if you are a non-spouse heir 1.
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How to Choose the Right Wealth Management Firm in Kansas City
Fortune Financial
SEPTEMBER 25, 2023
Key Credentials Financial certifications, also called financial designations, are credentials that investment and financial industry professionals use, according to Investopedia. They are well-versed in various aspects of financial planning, including investments, retirement planning, estate planning and tax management.
How to Choose the Right Wealth Management Firm in Kansas City
Fortune Financial
SEPTEMBER 25, 2023
Key Credentials Financial certifications, also called financial designations, are credentials that investment and financial industry professionals use, according to Investopedia. They are well-versed in various aspects of financial planning, including investments, retirement planning, estate planning and tax management.
7 Ways to Optimize Your Google Business Profile To Get More Local Traffic
FMG
FEBRUARY 3, 2023
It’s not only incredibly beneficial to financial advisors but something we consider a necessity. However, they offer plenty of specific categories for the financial services industry. While tools like Google Analytics, Google Trends, and Google Search Console allow businesses to understand how their site can rank better.
Transcript: Brian Hamburger
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.
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The 5 Pillars of Retirement Planning You Should Be Aware of
WiserAdvisor
MARCH 13, 2024
Adhering to these pillars can help you pave the way for a secure and fulfilling retirement supported by wise financial decisions and informed choices. A financial advisor can help you understand the five pillars of retirement planning to ensure you stay a step ahead when planning for the later years of your life.
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