Nerd's Eye View

NOVEMBER 22, 2023

In this guest post, Chris Stanley, investment management attorney and Founding Principal of Beach Street Legal, discusses in depth the various stages of buying, selling, and merging an investment advisory and financial planning business.

Compliance 183

Compliance Sales Financial Advisor Financial Planning 183

XY Planning Network

OCTOBER 30, 2023

With the overwhelming amount of rulemaking taking place at the SEC, the operational impact of maintaining compliance, when taking into account the totality of the rules recently finalized and currently being proposed, is sure to be significant for most investment advisers going forward.

Compliance 86

Compliance Investing Investments Accounting 86

Abnormal Returns

OCTOBER 16, 2023

riaintel.com) How many United Capital advisers will remain at Creative Planning when all is said and done? riabiz.com) Compliance Compliance is one of the biggest concerns of advisers. thinkadvisor.com) AI tools are coming for the compliance function. (citywire.com) RIA M&A volume has picked up of late.

Compliance 204

Compliance Financial Planner Financial Advice Investment Advisor 204

Abnormal Returns

JULY 10, 2023

mebfaber.com) Ashby Daniels talks with Hannah Moore about "doing" financial planning. wiredplanning.com) Laurence Kotklikoff talks with David Blanchett about problems with conventional financial planning tools. investmentnews.com) Compliance There's no winning the cybersecurity war, just stalemate.

Compliance 188

Compliance Recruitment Wealth Advisor Financial Planning 188

Abnormal Returns

OCTOBER 23, 2023

(wealthmanagement.com) Creative Planning A profile of Peter Mallouk, CEO of Creative Planning. advisorperspectives.com) Vanilla is rolling out more AI tools for estate planning. investmentnews.com) Compliance How to conduct and document an annual compliance review. smartasset.com)

Compliance 159

Compliance Estate Planning Financial Advice Financial Advisor 159

Brown Advisory

APRIL 13, 2022

Expats: Tax Compliance mhannan Wed, 04/13/2022 - 06:37 We help U.S.-connected assess their current financial situation, understand their long-term goals and objectives, and build a robust and flexible investment plan for the future – all while considering the intricacies (and importantly, the interaction) of the U.S. Pitfalls for U.S.

Compliance 52

Compliance Taxes Accounting Investment Planning 52

AdvicePay

MAY 17, 2023

Historically, financial advisory firms faced significant challenges in implementing and scaling fee-for-service financial planning due to the complexities of management and compliance associated with fee-for-service billing. This limitation resulted in planning representing only a small fraction of these firms' overall revenue.

Financial Planning 84

Financial Planning Planning Compliance Management 84

Nerd's Eye View

APRIL 17, 2024

Compliance!), And while all may appear well on the surface – the client rarely contacts the advisor with problems but they show up for every annual meeting – they may actually be feeling quite disengaged with the financial planning services being provided. Prospecting! Onboarding! – important goals.

Clients 192

Clients Financial Planning Compliance Planning 192

AdvicePay

MAY 22, 2024

Earlier this year, we released our 2024 Fee-for-Service Industry Trend Report , showcasing data from over 380,000 fee-for-service financial planning transactions processed through our platform in 2023. We are excited to share some of the top questions from the webinar.

Financial Planning 82

Financial Planning Compliance Planning Management 82

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 213

Financial Planner Compliance Media Retirement Planning 213

Nerd's Eye View

NOVEMBER 6, 2023

And be certain to read to the end, where we have provided an update to our popular "Financial AdvisorTech Solutions Map" (and also added the changes to our AdvisorTech Directory) as well!

Compliance 207

Compliance Valuation Financial Advisor Clients 207

Nerd's Eye View

MARCH 6, 2023

Which at best will still be a substantial uphill battle, given the hassle of switching from one financial planning platform to another (and the fact that most advisors are generally satisfied with their current financial planning software in the first place!).

Compliance 195

Compliance Financial Planning Planning Financial Advisor 195

Abnormal Returns

JULY 17, 2023

(thinkadvisor.com) The biz The DOL's fiduciary rule has thrown a wrench into Edelman Financial Engine's ($EFE) plans. thinkadvisor.com) The SAVE Plan has some fixes for student loan repayment plans. advisorperspectives.com) Think twice, compliance-wise, before jumping onto Threads. investmentnews.com)

Wealth Management 205

Wealth Management Compliance Engineering Clients 205

Nerd's Eye View

NOVEMBER 2, 2022

But by being aware of the varying requirements and filing documents in an accurate and timely manner, new firms can navigate their way through the registration process and (finally) begin offering planning services to clients! Read More.

Compliance 130

Compliance Investing Investments Government 130

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 189

Financial Planner Healthcare Retirement Financial Advisor 189

WiserAdvisor

MARCH 13, 2024

Achieving financial freedom in retirement requires meticulous planning, dedicated effort, and strategic management. Without a solid plan, you risk drifting without direction. Within this framework, the concept of the five pillars of retirement planning emerges as a valuable strategy. It also minimizes errors and oversights.

Retirement Planning 105

Retirement Planning Retirement Planning Estate Planning 105

Abnormal Returns

MARCH 6, 2023

fa-mag.com) Vanguard is closing its UK financial planning unit. citywire.com) Compliance Why compliance needs to embrace technology and become nimbler. etftrends.com) Expiring tax breaks make planning all the more challenging. kitces.com) Vanguard Vanguard on the three main parts of behavioral coaching. (fa-mag.com)

Compliance 146

Compliance Wealth Management CFP Financial Advice 146

Nerd's Eye View

JULY 18, 2023

In this episode, we talk in-depth about how Nancy overcame her initial imposter syndrome and went from finding attorneys to be threatening to realizing that they are just regular people and do not necessarily know a lot about finance by recognizing how important her own life experiences were, how Nancy also did expand her technical expertise by earning (..)

Financial Planning 151

Financial Planning Planning Financial Advisor Financial Planner 151

XY Planning Network

APRIL 1, 2024

Deciding to take the leap to start your own financial planning firm can be very scary. How do I manage compliance? In this peer-to-peer guest series, we take a deep dive into those decisions as XYPN members share their stories, resources, regrets, and successes experienced while launching their financial planning practice.

Compliance 94

Compliance Financial Planning Planning Management 94

Steve Sanduski

NOVEMBER 8, 2023

is the CEO of the Foundation for Financial Planning, the U.S.’s ’s leading 501(c)(3) charity devoted to expanding access to pro bono financial planning for people in need. Jon Dauphiné and Dave Mantell discuss: The origins of the Foundation for Financial Planning and its mission. Guest: Jon Dauphiné, Esq.

Financial Planning 69

Financial Planning Planning Wealth Management Medicine 69

XY Planning Network

FEBRUARY 12, 2024

Deciding to take the leap to start your own financial planning firm can be very scary. How do I manage compliance? In this peer-to-peer guest series, we take a deep dive into those decisions as XYPN members share their stories, resources, regrets, and successes experienced while launching their financial planning practice.

Compliance 102

Compliance Financial Planning Planning Management 102

Abnormal Returns

AUGUST 14, 2023

humansvsretirement.com) Corey Hoffstein talks with Martin Tarlie, a Portfolio Manager at GMO, about bridging the gap between financial planning and portfolio management. financial-planning.com) A review of recent adviso rtech news including the compliance landscape for Twitter alternatives.

Portfolio Management 202

Portfolio Management Compliance Portfolio Financial Planning 202

XY Planning Network

APRIL 15, 2024

Deciding to take the leap to start your own financial planning firm can be very scary. How do I manage compliance? In this peer-to-peer guest series, we take a deep dive into those decisions as XYPN members share their stories, resources, regrets, and successes experienced while launching their financial planning practice.

Compliance 78

Compliance Financial Planning Planning Management 78

Abnormal Returns

JUNE 26, 2023

wiredplanning.com) Daniel Crosby talks with advice non-compliance with Derek Hagen who is the founder of Money Health Solutions. morningstar.com) There are plenty of different models that work for planning, not just charging on AUM. Podcasts Ashby Daniels talks about turning vague customer desires into clear goals.

Wealth Management 212

Wealth Management Compliance Retirement Management 212

Nerd's Eye View

JANUARY 26, 2024

Also in industry news this week: A House committee has advanced a bill that would extend several expired business-related tax measures from the Tax Cuts and Jobs Act and would increase the value of the Child Tax Credit The SEC released its examination priorities for 2024, which include a focus on advisers' adherence to their duty of care and duty of (..)

Financial Planner 189

Financial Planner Retirement Planning Financial Advisor Retirement 189

Nerd's Eye View

APRIL 22, 2024

Notably, different affiliate platforms have different payout rates; those that pay out the most (and thus have the lowest fees) tend to cover relatively few functions such as compliance and technology, while those that pay out the least (and therefore have the highest fees) cover a significant amount of the advisor's overhead costs.

Compliance 210

Compliance Clients Financial Advisor Management 210

Nerd's Eye View

JANUARY 1, 2024

This month's edition kicks off with the news that held-away asset management platform Pontera has raised $60 million in venture capital funding as advisors increasingly seek to directly manage clients' 401(k) and other outside assets – although an ongoing investigation by Washington state regulators over whether advisors' use of Pontera violates (..)

Retirement Planning 203

Retirement Planning Compliance Startup Clients 203

XY Planning Network

MARCH 18, 2024

Deciding to take the leap to start your own financial planning firm can be very scary. How do I manage compliance? In this peer-to-peer guest series, we take a deep dive into those decisions as XYPN members share their stories, resources, regrets, and successes experienced while launching their financial planning practice.

Compliance 77

Compliance Financial Planning Planning Management 77

Nerd's Eye View

FEBRUARY 2, 2024

Also in industry news this week: A recent study from advisor digital marketing firm Snappy Kraken suggests firms that invest in Search Engine Optimization (SEO), have a regular cadence of emails to their subscriber list, and include video content in these messages tend to get greater returns from their marketing efforts CFP Board has created a guide (..)

Financial Planner 207

Financial Planner Compliance CFP Clients 207

Nerd's Eye View

JANUARY 17, 2024

Another is designed to extract information from data gathering and financial planning meeting transcripts for easy entry into financial planning software and also to summarize key points and action steps.

Financial Advice 130

Financial Advice Financial Planning Planning Clients 130

Nerd's Eye View

DECEMBER 27, 2023

The recent rise of Artificial Intelligence (AI) capabilities embedded within advisor technology throws a wrinkle into how advisors adhere to their fiduciary and compliance obligations when using technology.

Financial Advice 190

Financial Advice Communication Compliance Clients 190

Abnormal Returns

APRIL 17, 2023

(wiredplanning.com) Frazer Rice on what it takes to successfully fund and plan a career pivot. podcasts.apple.com) The biz Why Dynasty Financial Partners and MarketCounsel are investing more in compliance software provider SmartRIA. citywire.com) Mariner Wealth has ambitious expansion plans. crr.bc.edu)

Financial Advising 130

Financial Advising Compliance Retirement Planning 130

Nerd's Eye View

FEBRUARY 1, 2023

Which, in fact, often meets the definition of an ‘endorsement’, subjecting many third-party relationships to the Marketing Rule’s compliance regulations.

Compliance 167

Compliance Advertising Marketing Marketing 167

Abnormal Returns

DECEMBER 26, 2022

morningstar.com) Ryan Detrick and Sonu Varghese talk with Phil Pearlman about the connection between health and wealth planning. investmentnews.com) Practice management Why firms need to make compliance an ally, not an obstacle. thinkadvisor.com) Being able to move unused 529 plan funds into an IRA is a neat trick.

Risk Tolerance 177

Risk Tolerance Financial Planner Financial Advising Compliance 177

Nerd's Eye View

NOVEMBER 11, 2022

While some are looking to gain a first-mover advantage by leveraging client testimonials and third-party endorsements (and adjusting their compliance programs before doing so), others are taking a wait-and-see approach. Also in industry news this week: Why “SECURE 2.0”

Financial Planner 173

Financial Planner Retirement Planning Compliance Clients 173

Nerd's Eye View

SEPTEMBER 26, 2023

What's unique about Bridget, though, is how, as a solo advisor, she found herself overwhelmed with the pressures of having to manage different aspects of her business while also providing great service to her clients as she quickly grew to $77M of AUM in 7 years, and has decided to not to "scale" her firm by hiring more advisors but instead leverage (..)

Financial Planning 209

Financial Planning Financial Advisor Clients Planning 209

Trade Brains

SEPTEMBER 15, 2023

The article concludes with a highlight of future plans and a summary. 40 Future Plans of Ador Welding The Company incurred CAPEX of Rs.19.83 The company has planned a CAPEX of Rs.44.30 Upgradation, digitalization and compliance of Information Technology (IT). 4 2020 0.33 6 2021 0.12 4 2022 0 17 2023 0.05

Planning 105

Planning Manufacturing Compliance Commission 105