Diamond Consultants

JANUARY 10, 2023

Have a plan B. Debating the merits of stringent compliance regimes is beyond the scope of this article, but the reality is that we live in a world of heightened oversight. Always coloring in the lines and having a solid plan B will provide some protection—the latter’s usefulness will extend beyond termination situations.

Recruitment 59

Recruitment Financial Advisor Compliance Retirement 59

Diamond Consultants

JUNE 21, 2022

Yet many advisors shy away from the due diligence process itself, envisioning an exhaustive barrage of calls from recruiters and managers of other firms and meetings that often lead nowhere. While understanding the economics of a recruiting package is important, it shouldn’t be your first inquiry. But it doesn’t have to be that way.

Financial Advisor 52

Financial Advisor Recruitment Compliance Education 52

Diamond Consultants

DECEMBER 5, 2023

Increasing bureaucracy, rising compliance restrictions, diminishing freedom over investments, and client communications—just a few of the issues we hear about from advisors every day. While it may seem “safer” to stay put, there are risks in doing so that many advisors are unaware of.

Compliance 52

Compliance Clients Retirement Recruitment 52

Good Financial Cents

JANUARY 11, 2023

The banking industry includes banks, investment banks, commercial banking, personal banking, hedge funds, financial planning, and private equity firms. Portfolio Managers are responsible for developing investment strategies, tracking markets, evaluating documents and figures, and creating customer investment plans. Investment Banker.

Banking 95

Banking Budgeting Portfolio Management Recruitment 95

XY Planning Network

JANUARY 16, 2023

4 MIN READ. New year, new firm? Whether you’re changing firms or starting your own, there are many things to consider and do. If notifying or bringing your clients with you is on your checklist, add this task first: C heck employment contract.

Clients 72

Clients Assets Management Recruitment 72

Diamond Consultants

DECEMBER 20, 2022

With recruiting particularly active at Morgan Stanley and UBS, advisors demonstrated that it’s still the right model for many of them. That is, placing greater focus on building a business with the end in mind, even if it meant eschewing a significant recruitment package.

Recruitment 59

Recruitment Compliance Wealth Management Banking 59

The Big Picture

MAY 23, 2023

How to recruit and retain the best people and how to use technology as a tool to give you an edge, not just in investing but in the ability to offer clients various solutions improving your efficiency, effectiveness and productivity as a company. Were the plans to become a solicitor or a barrister? Let’s start with your background.

Clients 152

Clients Management Engineering Investing 152

The Big Picture

MAY 9, 2023

What was the original career plan? SALISBURY: Honestly, I didn’t really have a long-term plan. SALISBURY: Yes, I’d love to tell you there was some great master plan. A great example, you know, some of these things you can plan for and some you can’t. You begin in audit practice at KPMG.

Assets 286

Assets Clients Investing Investments 286

The Big Picture

JULY 26, 2022

What do I want in — what does a five-year plan look like? I mean, I think one of the benefits of phase planning in your first fund is that you get some humility. I mean, I don’t — RITHOLTZ: So this is really devious recruitment. WEAVER: — you know, my teaching and recruiting. RITHOLTZ: Right.

Consulting 286

Consulting Management Numbers Investing 286

The Big Picture

AUGUST 15, 2023

And so alongside of Wall Street recruiting in my senior year, I interviewed at the Yale Investments Office and was fortunate to get that job and violated the two principles I had at the time, which was I wanted to be in a training program and I wanted to leave New Haven. Let me say what your compliance wouldn’t allow you to say.

Management 130

Management Investing Investments Government 130

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 152

Compliance Wealth Management Clients Management 152

The Big Picture

SEPTEMBER 5, 2023

And what is remarkable about some of the towns or cities in Florida is they now hire employees specifically to recruit CEOs from the Northeast who then will bring their companies to Florida. That it’s sort of evolving from a place you go to vacation or visit to a place that you live. MILLER: A lot hotter. MILLER: Right.

Sales 130

Sales Numbers Taxes Marketing 130

The Big Picture

MAY 16, 2023

And I’m like, dad, I found I need 25 grand to get going and my dad said send me a business plan. LINDZON: And … RITHOLTZ: I like your dad’s idea You should have created a business plan, just so you have it under your belt So now, I can’t imagine. LINDZON: No, so obviously, I did the business plan, I’m kidding.

Media 278

Media Investing Investments Valuation 278