Nerd's Eye View

OCTOBER 30, 2024

But the downside to using the "conflict-free" label was put into sharp focus recently, when the SEC announced that it had fined several RIA firms for violating its Marketing Rule.

Advertising 246

Advertising Commission Marketing Marketing 246

Nerd's Eye View

JUNE 5, 2024

If they want to continue to grow and increase their capacity, they'll need to make several important decisions and address a plethora of legal and compliance requirements not only to avoid potential legal issues but also to ensure that their business will continue to operate smoothly.

Compliance 189

Compliance Clients Consulting Accounting 189

Wealth Management

MAY 2, 2023

The company’s website, automation and text messaging platforms will now be connected in one unified system, with new pricing and a single compliance platform.

Compliance 275

Compliance Marketing Marketing 275

Nerd's Eye View

JANUARY 31, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that following the change of administration (and a new incoming chair of the SEC), the Investment Adviser Association is seeking to find ways to help RIAs (particularly smaller firms) manage the compliance responsibilities they (..)

Financial Planner 245

Financial Planner Retirement Planning Compliance Valuation 245

Nerd's Eye View

FEBRUARY 1, 2023

In recent years, though, the growing use of lead-generation services, advisor networks, and ‘advisor-matching’ tools, referred to as “operators” in the Marketing Rule’s Adopting Release, has given rise to third-party solicitation activity that often looks more like advertising directly to prospective clients.

Advertising 242

Advertising Compliance Marketing Marketing 242

Nerd's Eye View

JANUARY 3, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with a recent survey indicating that a majority of advisors are viewing new client acquisition as their primary challenge in the current competitive environment for financial advice (followed by compliance and technology management) and suggests (..)

Financial Planner 246

Financial Planner Retirement Planning Financial Advice Financial Advisor 246

Nerd's Eye View

JUNE 17, 2024

Nonetheless, fewer than 10% of SEC-registered investment advisers report using them, even though the SEC’s updated investment adviser marketing rule allows financial advisors to proactively encourage testimonials (from clients), use endorsements (from non-clients), and highlight their own ratings on various third-party review sites.

Financial Advising 246

Financial Advising Compliance Advertising Marketing 246

Wealth Management

JUNE 10, 2025

RIA Edge Podcast: Schwab’s Jalina Kerr on How Resilient RIAs Can Turn Market Volatility Into Growth RIA Edge Podcast: Schwab’s Jalina Kerr on How Resilient RIAs Can Turn Market Volatility Into Growth Jalina Kerr of Charles Schwab shares how the most adaptive firms are expanding beyond portfolio management, into areas like estate and tax planning.

Wealth Management 135

Wealth Management Marketing Marketing Tax Planning 135

Nerd's Eye View

MARCH 14, 2025

Which, if implemented under the new administration, could provide relief for investment advisers, particularly smaller firms that already have to balance compliance with client service, marketing, and the other duties that go into running a firm.

Financial Planner 159

Financial Planner Compliance Commission Retirement 159

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

Wealth Management

SEPTEMBER 19, 2022

4 compliance date. In a newly-released risk alert, the commission’s Department of Examinations highlighted potential areas of focus for the rule, which has a Nov.

Compliance 243

Compliance Marketing Marketing 243

Wealth Management

FEBRUARY 5, 2024

Some compliance experts took issue with a recent Michael Kitces podcast that appeared to endorse a marketing strategy that includes soliciting and reposting clients’ Google reviews.

Compliance 271

Compliance Clients Marketing Marketing 271

Advisor Perspectives

SEPTEMBER 10, 2024

How do you convey your value and convince qualified prospects that hiring you will be a worthwhile investment without breaching your compliance obligations as an advisor?

Compliance 98

Compliance Marketing Marketing Investing 98

Wealth Management

NOVEMBER 3, 2022

The commission’s rule update on advertising and marketing reaches its compliance date on Friday, and experts are warning firms to make sure they’re ready.

Advertising 264

Advertising Compliance Marketing Marketing 264

Abnormal Returns

NOVEMBER 4, 2024

citywire.com) Compliance The SEC is taking a closer look at AI use by RIAs. wealthmanagement.com) Some financial advisers are pushing the limits on marketing with their 'media' appearances. (businesswire.com) Niches If everyone is your prospect (or client), then no one is.

Wealth Management 157

Wealth Management Financial Advising Wealth Advisor Compliance 157

Wealth Management

JUNE 17, 2025

Mariner launched its independent channel in 2020, offering back-office support, practice management, marketing, investment and compliance to affiliated advisors. He has also held senior roles at LPL Financial and Edelman Financial Engines. The Overland Park, Kan.-based

Wealth Management 156

Wealth Management Estate Planning Compliance Management 156

Abnormal Returns

NOVEMBER 7, 2022

Podcast Michael Kitces talks with Mindy Crary, owner of Creative Money, about making it clear about fiduciary marketing. wsj.com) Advisers are scrambling to get into compliance with new advertising rules. kitces.com) Daniel Crosby talks with Kurt Brown, CEO and CIO, of TownSquare Capital.

Compliance 274

Compliance Wealth Management Advertising Financial Advice 274

Wealth Management

JUNE 10, 2025

Number 8860726. Registered in England & Wales with number 01835199, registered office 5 Howick Place, London, SW1P 1WG.

Wealth Management 232

Wealth Management Management Estate Planning Business Planning 232

Wealth Management

DECEMBER 15, 2022

Former Entreda CEO Sid Yenamandra has co-founded a venture studio to drive data governance and compliance tech innovation and help startups in the field reach market more efficiently.

Startup 243

Startup Compliance Government Marketing 243

Midstream Marketing

NOVEMBER 26, 2024

Key Highlights Find out why marketing is important for RIAs in the current hard market. Learn smart ways to connect with RIAs, such as content marketing and digital strategies. Understand why following the rules is important in RIA marketing and read the best practices. Good marketing is important for growth.

Compliance 52

Compliance Marketing Marketing Investment Advisor 52

XY Planning Network

AUGUST 5, 2024

In today's digital age, marketing—especially digital marketing—is crucial to any business strategy. As marketing evolves, so do the regulations designed to prevent fraud and ensure fair practices. So, what does this mean for RIAs regarding their marketing efforts and staying compliant?

Compliance 112

Compliance Marketing Marketing Clients 112

Abnormal Returns

JUNE 10, 2024

bloomberg.com) Daniel Crosby talks advisor marketing with Robert Sofia who is the CEO of Snappy Kraken. fa-mag.com) The latest in financial advisortech including the launch of compliance archiving startup Archive Intel. kitces.com) Practice management What you need to know compliance-wise before you hire your first advisory employee.

Compliance 272

Compliance Estate Planning Startup Clients 272

Carson Wealth

MAY 7, 2025

If you give property to a qualified organization, you can generally deduct the fair market value of the property at the time of the contribution. Disclosures: If you receive any goods or services in return for your donation, you can only deduct the amount of your donation that exceeds the fair market value of what you received.

Compliance 52

Compliance Distribution Taxes Consulting 52

Carson Wealth

NOVEMBER 4, 2024

We will say this about the election — we could see some market volatility this week, although the extra days it took to determine the winner in 2020 actually saw market strength. Bottom line, investors have been quite spoiled with a historic year for markets and it is important to remember that stocks indeed can go down.

Marketing 96

Marketing Marketing Economy Numbers 96

Carson Wealth

DECEMBER 2, 2024

Fortunately, all we have to do is look at the data to see they once again could be on the wrong end of this amazing bull market. The past few weeks we’ve discussed why we think this bull market is alive and well, but we also see no major reasons to expect the economy to fall into a recession in 2025. on average. on average.

Marketing 75

Marketing Marketing Economy Compliance 75

Carson Wealth

MARCH 17, 2025

Understanding Market Corrections The S&P 500 moved into a correction on Thursday of last week, defined as a close at least 10% below the indexs recent closing high. Historically, the S&P 500 has come fully out of the correction about three times as often as it has entered a bear market. corrections per year since 1928.

Marketing 84

Marketing Marketing Economy Portfolio 84

Nerd's Eye View

JULY 14, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that while the new social media app Threads, designed to compete with Twitter, has surpassed 100 million users in its first week alone, its potential utility for advisors remains unclear and has raised compliance concerns for advisors (..)

Financial Planner 246

Financial Planner Compliance Media Retirement 246

Midstream Marketing

OCTOBER 30, 2024

RIAs need to update their marketing plans to stay ahead. A strong brand identity is key to getting and keeping clients in this tough market. RIAs must understand and follow SEC marketing rules to meet their ethical and legal needs. Understanding the Marketing Landscape for RIAs The world of financial advice is changing fast.

Investment Advisor 52

Investment Advisor Investments Investing Ethics 52

Nerd's Eye View

AUGUST 5, 2022

From there, we have several articles on advisor content marketing: How advisors can generate topic ideas for content to engage their target audience. Why campaigns that combine “sunk marketing” with “momentum marketing” can lead to greater results for advisors.

Financial Planner 246

Financial Planner Compliance Insurance Retirement Planning 246

Abnormal Returns

JULY 22, 2024

fastcompany.com) Advisers Off-channel communications surpassed marketing as the leading compliance concern for RIAs. (citywire.com) Retirement A Q&A with Wade Pfau about the challenges of spending in retirement. thinkadvisor.com) Why staggered retirements make a lot of sense.

Compliance 261

Compliance Retirement Communication Consulting 261

The Big Picture

APRIL 22, 2023

 This week, we speak with Brian Hamburger , founder and chief executive officer of the business / regulatory compliance consultancy MarketCounsel , as well as the founder and chief counsel of the Hamburger Law Firm, a boutique law firm that focuses on investment and securities industry matters.

Compliance 299

Compliance Wealth Management Consulting Investments 299

Midstream Marketing

DECEMBER 26, 2024

Forefield Advisor Marketing is a powerful suite of tools for financial professionals, aimed at enhancing client engagement and driving business growth. This blog post will explore the importance of advisor marketing in todays evolving financial services industry, focusing on strategies for success.

Marketing 52

Marketing Marketing Communication Advertising 52

Indigo Marketing Agency

FEBRUARY 19, 2025

Why Hiring a Digital Marketing Agency for Financial Services Is the Key to Growing Your Business In the mid-2000s, digital marketing was just one of many mediums local businesses were starting to utilize to growalong with newspaper ads, phone book ads, direct mail ads, radio and TV ads, billboards, door-to-door sales, and more.

Financial Services 59

Financial Services Financial Planner Advertising Financial Advisor 59

Nerd's Eye View

MAY 2, 2025

Also in industry news this week: A majority of financial advisory clients feel reassured by their advisor in the current market environment, according to a recent survey, with advisors pursuing a mix of 'high touch' and 'low touch' communication methods A FINRA proposal that purports to streamline regulatory obligations regarding outside business activities (..)

Financial Planner 179

Financial Planner CFP Financial Advisor Retirement 179

Carson Wealth

APRIL 21, 2025

One potential positive is market breadth has held up quite well in the face of the near-bear market. Powell’s prepared remarks started off by saying the economy was/is in good shape, including labor markets and the inflation picture. The labor market is not a source of inflationary pressure.

Marketing 78

Marketing Marketing Economy Investing 78

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.

Compliance 179

Compliance Financial Advice Financial Advisor Management 179