The Big Picture

AUGUST 26, 2022

Doing this puts the probabilities more on their side, with the bonus that fewer regulatory headaches, legal liability, and compliance issues occur – they more or less go away if you manage this kind of model properly. Now if only the Sell-side would get religion about fiduciary standards, I would stop hating on them so much.

Accounting 353

Accounting Government Assets Management 353

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 154

Compliance Clients Wealth Management Management 154

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.

Fee Only 52

Fee Only Financial Advisor Certified Financial Planner Commission 52

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. The suitability standard requires brokers and investment advisors to recommend investments that are suitable for the client.

Certified Financial Planner 52

Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

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. As a junior financial advisor, you’d be more involved with clients.

Insurance 98

Insurance Financial Planner Fee Only Financial Advisor 98

Sara Grillo

DECEMBER 12, 2022

I don’t care what that sales rep is making. With over thirty years of financial services experience, Mike is an independent financial professional helping individuals and small business owners in providing unbiased insurance and investment strategies. For advise on such matters, contact a legal or compliance advisor.

Financial Advisor 52

Financial Advisor Commission Clients Insurance 52

Inside Information

OCTOBER 30, 2021

Rostad doesn’t believe investors are too stupid to understand the difference. “If we could actually focus on plain language,” he says, “and say: this is what the business and the practices of broker-dealers are, and this is what the business and practices of investment advisors are , then I believe investors would understand it perfectly well.

CFP 40

CFP Commission Investing Investments 40