Sara Grillo

OCTOBER 21, 2022

RIA firm – a Registered Investment Advisor firm registered with either the SEC or state regulators. An RIA firm’s financial advisors must follow the fiduciary standard which is believed to be the highest standard of care in the industry. And I wanted to define some key terms first.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Diamond Consultants

AUGUST 9, 2022

The notion of taking on the task of managing compliance, technology, HR, and finance is often what stops advisors from going independent. Plus, these platforms don’t just provide support at launch; they also offer ongoing operational, compliance, marketing, and practice management support to optimize the business for growth.

Compliance 59

Compliance Recruitment Clients Retirement 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. What is your opinion? What do you believe the CFP Board’s role should be in the future?

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 157

Compliance Clients Wealth Management Management 157