Wealth Management

JULY 2, 2025

Number 8860726. From Point Solutions to Seamless Intelligence For decades, our industry has relied on integrations—APIs painstakingly connected across custodians, CRMs, planning tools and portfolio management systems. Registered in England & Wales with number 01835199, registered office 5 Howick Place, London, SW1P 1WG.

Wealth Management 165

Wealth Management Estate Planning Planning Clients 165

Wealth Management

JULY 1, 2025

Number 8860726. The RIA serves high-net-worth individuals and families in Northern California with portfolios exceeding $10 million in assets. Registered in England & Wales with number 01835199, registered office 5 Howick Place, London, SW1P 1WG. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG.

Wealth Management 165

Wealth Management Estate Planning Clients Planning 165

Wealth Management

JUNE 10, 2025

Number 8860726. Registered in England & Wales with number 01835199, registered office 5 Howick Place, London, SW1P 1WG. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG. Registered in England and Wales. Some RIAs can turn volatility into a growth engine.

Wealth Management 138

Wealth Management Marketing Marketing Tax Planning 138

Nerd's Eye View

MAY 5, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that the House Financial Services Committee unanimously passed a bill that would direct the SEC to conduct a study and carry out a rulemaking on the definition of a "small entity" to reduce the compliance burden on small businesses, (..)

Financial Planner 245

Financial Planner Financial Services Electronics Compliance 245

Nerd's Eye View

JULY 26, 2024

The study also identified attributes of "top performing" firms across a range of metrics, finding that they are more likely than other firms to have a clear ideal client persona, client value proposition, and marketing plan.

Financial Planner 246

Financial Planner Retirement Communication Financial Advisor 246

Wealth Management

JUNE 27, 2025

Number 8860726. Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all Marc Schechter RIA Q&A: What Was Behind Schechter’s Decision to Sell to Arax? Registered in England and Wales.

Wealth Management 169

Wealth Management Estate Planning Financial Planning Startup 169

Nerd's Eye View

AUGUST 4, 2023

While the downgrade has made headlines and might be startling to advisory clients (particularly those with significant portfolio allocations to U.S. government's creditworthiness from an AAA rating to AA+.

Financial Planner 246

Financial Planner Retirement Planning Compliance Retirement 246

Nerd's Eye View

JANUARY 13, 2023

FINRA has released its enforcement priorities for 2023, including a continued focus on compliance with Regulation Best Interest as well as several new priority topics, such as manipulative trading, fixed-income pricing, and trading in fractional shares. How stocks and bonds tend to perform following their biggest down years.

Financial Planner 230

Financial Planner Retirement Planning Retirement Compliance 230

Nerd's Eye View

FEBRUARY 17, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC is proposing to expand the adviser custody rule beyond securities and funds to cover all assets in a client’s portfolio, including private securities, real estate, derivatives, and cryptoassets.

Financial Planner 244

Financial Planner Fiduciary Duty Retirement Planning Compliance 244

Wealth Management

JUNE 20, 2025

Number 8860726. Davis Janowski , Senior Technology Editor, WealthManagement.com June 20, 2025 5 Min Read Dr. Naomi Win, a behavioral finance analyst at Orion, gave a presentation entitled, “Aligning Lives and Portfolios: Meeting the Moment for Modern Investors” at Wealth Management EDGE. Registered in England and Wales.

Wealth Management 138

Wealth Management Management Financial Advisor Estate Planning 138

Wealth Management

JUNE 25, 2025

Number 8860726. Reporting & Portfolio Management: Orion JY: When Tucker and I bought the firm, they were already on Orion. We do some things, such as bulk uploads of quarterly systems or bulk uploads of invoices, and some of those things are a lot easier when Orion is our portfolio management system.

Wealth Management 153

Wealth Management Estate Planning Financial Advisor Clients 153

Wealth Management

JUNE 12, 2025

Number 8860726. John Davi, CEO and founder, Astoria Portfolio Advisors, encouraged advisors to use passive strategies in areas that can’t be beat. Registered in England & Wales with number 01835199, registered office 5 Howick Place, London, SW1P 1WG. Informa PLC's registered office is 5 Howick Place, London SW1P 1WG.

Assets 146

Assets Management Wealth Management Risk Management 146

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 (..)

Financial Planner 244

Financial Planner Healthcare Retirement Financial Advisor 244

Nerd's Eye View

JUNE 28, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a recent study found that at a time when the number of SEC-registered broker-dealers and their registered representatives is declining, the number of SEC-registered RIAs, their assets under management, and the number of (..)

Financial Planner 186

Financial Planner Clients Numbers Compliance 186

Trade Brains

SEPTEMBER 22, 2023

Fungicides, herbicides, insecticides, plant growth regulators, rodenticides, and speciality crop chemicals are all included in the company’s crop protection portfolio. MRL exported tires to a number of nations, including the United States, the Middle East, Pakistan, and Afghanistan. Market Cap (Cr) 47,415 EPS (Rs) 38.09

Portfolio Analysis 116

Portfolio Analysis Portfolio Healthcare Banking 116

Carson Wealth

MAY 20, 2024

April inflation data confirmed there is no need to panic about the first-quarter numbers. A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 02246494_052024_C The post Market Commentary: Dow Hits 40,000 As Inflation Numbers Improve appeared first on Carson Wealth.

Numbers 97

Numbers Marketing Marketing Food 97

Carson Wealth

NOVEMBER 4, 2024

However, this shouldn’t be a big surprise because we knew Hurricanes Milton and Helene would weigh on the numbers. September payrolls were revised down by 31,000 to +223,000 jobs, and August was revised down by 81,000 to +78,000 (the first sub-100,000 monthly payroll number since December 2020). But those numbers are backward looking.

Marketing 96

Marketing Marketing Economy Numbers 96

Random Roger's Retirement Planning

NOVEMBER 21, 2023

First up was a webinar about model portfolios at ETF.com. The way my new firm is set up, I could outsource everything, for a fee, and the way this was positioned, I think there might be a decent number of advisors who do just that. I think that when investors hear about model portfolios they sort of think in terms of set and forget.

Portfolio 75

Portfolio Asset Allocation Math Clients 75

Midstream Marketing

OCTOBER 30, 2024

Compliance and Ethics in RIA Marketing RIAs manage their clients’ money. Having good compliance policies and procedures is very important. The compliance date for the new marketing rule gives RIAs enough time to change their practices and make any needed updates. Advisors should not just look at basic numbers.

Investment Advisor 52

Investment Advisor Investing Investments Ethics 52

Harness Wealth

JANUARY 29, 2025

This type of strategy typically involves selling underperforming investments at a loss to offset capital gains (or ordinary income) to optimize portfolio returns. Portfolio rebalancing: Selling underperforming assets helps investors maintain an optimal asset allocation. What are the drawbacks of tax-loss harvesting?

Taxes 52

Taxes Assets Sales Portfolio 52

Carson Wealth

JANUARY 13, 2025

There are a lot of opportunities to diversify portfolios so they arent as concentrated as the S&P 500. Monthly numbers can be noisy and so a 3-month average is helpful. The hiring rate, which is the number of hires as a percent of the labor force, has fallen to 3.3%, the slowest pace since 2013 (outside of the Covid months).

Marketing 75

Marketing Marketing Economy Compliance 75

Carson Wealth

AUGUST 5, 2024

Thursday’s set of economic data saw initial jobless claims rise to their highest level in a year, alongside a weak manufacturing ISM number. Missed in this news flow was a stronger-than-expected productivity number reported Thursday, something we’ve been expecting all year. Stocks fell and bonds rallied as yields fell.

Marketing 141

Marketing Marketing Economy Numbers 141

Harness Wealth

MARCH 27, 2025

Secondary transactions (or Secondaries as theyre known) involve the buying and selling of pre-existing investments in private funds or stakes in the portfolio companies those funds own. Other reasons involve changes in investment strategy, portfolio rebalancing, or a simple desire to exit a specific asset class.

Taxes 52

Taxes Tax Planning Assets Compliance 52

Harness Wealth

APRIL 28, 2025

While your traditional investment portfolio generates 1099s, your partnership investments produce K-1s, creating a multi-layered tax reporting situation that requires careful attention to detail. This relatively early availability allows you to begin your tax planning process with concrete numbers rather than estimates.

Tax Planning 52

Tax Planning Distribution Taxes Compliance 52

Trade Brains

JUNE 16, 2025

Non-compliance with these regulations may pose operational risks for the company. Apart from the microloans, it is also increasing its portfolio by providing retail finance products to existing customers. Management gave guidance on Gross Loan Portfolio (GLP) growth of 14-18% for FY26, with NIM expected to be stable at 12.6-12.8%.

Retail 59

Retail Sales Portfolio Certification 59

Carson Wealth

APRIL 21, 2025

The recently released Bank of America Global Fund Manager Survey showed a record number of participants who intend to cut US exposure, as shown in the chart below. Given this survey looks at managers who manage actual portfolios, this is a very solid potential contrarian indicator.

Marketing 78

Marketing Marketing Economy Investing 78

Inside Information

JANUARY 31, 2025

But a number of readers got back to me with a reality check. Depending on a firms tech strategy, she wrote, advisors may have to log in to the CRM, custodian, portfolio accounting, planning software, tax planning software, estate planning software, social security maximizer software, etc., Slow adoption goes much deeper than that.

Risk Tolerance 40

Risk Tolerance Consulting Estate Planning Wealth Advisor 40

Carson Wealth

JUNE 9, 2025

This is why having a globally diversified portfolio can benefit US-centric investors, as the US won’t always lead. If you’re well above this number, you can be fairly sure job growth is positive. If you’re at this number, like right now (and also seeing downward momentum), we can’t be sure the economy is actually creating any net jobs.

Economics 69

Economics Marketing Marketing Economy 69

Brown Advisory

SEPTEMBER 12, 2016

From our CEO: How We Help Clients Build Sustainable Portfolios achen Mon, 09/12/2016 - 08:16 Last year, we published our first special edition of The Advisory focused on sustainable investing. We have been working hard to fulfill this commitment over the past 15 months, enhancing our offerings in a number of areas.

Portfolio 52

Portfolio Clients Investing Investments 52

Brown Advisory

SEPTEMBER 12, 2016

From our CEO: How We Help Clients Build Sustainable Portfolios. We have been working hard to fulfill this commitment over the past 15 months, enhancing our offerings in a number of areas. We begin with advice— an in-depth engagement and discovery process to learn exactly how you view the intersection of your values with your portfolio.

Portfolio 52

Portfolio Clients Investing Investments 52

Carson Wealth

DECEMBER 11, 2023

Yes, the number of jobs per month is slowing, but we expect continued growth throughout next year, which should support the consumer and suggests better-than-expected economic growth. A diversified portfolio does not assure a profit or protect against loss in a declining market. million this year.

Marketing 143

Marketing Marketing Economy Compliance 143

Carson Wealth

AUGUST 12, 2024

The late week rebound was supported by better economic data, including some good jobs-related numbers. Markets Perked Up on Better Job Numbers The August 2 jobs report already had markets primed for a potentially volatile week after job gains came in much weaker than expected and the unemployment rate ticked up to 4.3%.

Marketing 95

Marketing Marketing Numbers Economy 95

Carson Wealth

DECEMBER 9, 2024

The economy created 227,000 jobs in November, close to expectations, which somewhat made up for the low 36,000 number in October (revised up from 12,000). A diversified portfolio does not assure a profit or protect against loss in a declining market.

Marketing 69

Marketing Marketing Economy Manufacturing 69

Carson Wealth

JUNE 10, 2024

We didn’t even see significant revisions to March and April payroll numbers, and the 3-month average now sits at 249,000. The payroll number comes from the “establishment survey,” which is a survey of about 119,000 businesses and government agencies (about 629,000 worksites). Well, the May payroll report upended that narrative.

Marketing 143

Marketing Marketing Economy Numbers 143

Carson Wealth

OCTOBER 23, 2023

The consumption numbers quoted above came amidst surging student loan payments. A diversified portfolio does not assure a profit or protect against loss in a declining market. Compliance Case # 01945554 _102323_C The post Market Commentary: Another October Low Forming? in the third quarter. appeared first on Carson Wealth.

Marketing 143

Marketing Marketing Economy Retail 143

Carson Wealth

APRIL 29, 2024

While the GDP number for the first quarter disappointed, strength was evident beneath the surface. The weakest numbers were in areas that are volatile and tend to reverse, such as inventories and net exports. The core numbers were solid again and didn’t change our basic outlook for the rest of the year. in the first quarter.

Marketing 97

Marketing Marketing Economy Government 97

Midstream Marketing

NOVEMBER 5, 2024

Understand why compliance, engagement, and tracking success are vital for your social media efforts. You can set clear goals, like boosting the traffic to your website from social media by a certain number, getting a set amount of leads, or increasing your followers within a specific time.

Media 52

Media Financial Advisor Marketing Marketing 52