Fortune Financial

SEPTEMBER 25, 2023

How to Choose the Right Wealth Management Firm in Kansas City Managing your wealth is a crucial aspect of financial success and security. Let’s look at key factors to consider when selecting the ideal wealth management firm in the Kansas City metro area.

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Abnormal Returns

JULY 17, 2023

standarddeviationspod.com) Charles Schwab Charles Schwab ($SCHW) clients with $1 million in assets now are automatically enrolled in one of its private wealth management programs. advisorperspectives.com) Think twice, compliance-wise, before jumping onto Threads. investmentnews.com)

Wealth Management 217

Wealth Management Compliance Engineering Clients 217

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. standarddeviationspod.com) Michael Kitces talks about the challenges of retirement with Tony Hixon who is the Co-founder and COO for Hixon Zuercher Capital Management.

Wealth Management 223

Wealth Management Compliance Retirement Management 223

Wealth Management

OCTOBER 27, 2022

Aaron Klein, co-founder and chief executive officer of Riskalyze, discusses how firms can leverage compliance as a tool for growth.

Wealth Management 103

Wealth Management Compliance Management 103

Wealth Management

SEPTEMBER 13, 2022

Speakers at the Future Proof wealth festival on how compliance can move a cost of doing business to a valuable business function to be marketed—and monetized.

Compliance 94

Compliance Marketing Marketing 94

Wealth Management

SEPTEMBER 18, 2023

Do not forget the basics regarding compliance and ligitation of 401(k) retirement plans.

Compliance 100

Compliance Planning Retirement Planning Retirement 100

Wealth Management

MARCH 13, 2023

Commissioner Mark Uyeda argued that such dates all can’t “hit at the same time” during a discussion at the Investment Adviser Association Compliance Conference.

Compliance 84

Compliance Investing Investments 84

Wealth Management

NOVEMBER 16, 2022

An aggressive regulatory push by the SEC is behind the "major shift" in resources, according to Hearsay Compliance Principal Bill Simpson.

Compliance 97

Compliance Planning 97

Abnormal Returns

MARCH 6, 2023

citywire.com) FutureAdvisor has transferred all its clients to Ritholtz Wealth Management. citywire.com) Compliance Why compliance needs to embrace technology and become nimbler. standarddeviationspod.com) The biz It's now clear that RIA M&A activity has slowed.

Compliance 144

Compliance Wealth Management CFP Financial Advice 144

Wealth Management

DECEMBER 9, 2022

The digital revolution has made compliance issues more numerous and complicated than ever. Leaders in the space discuss how they're helping advisors manage risk.

Compliance 101

Compliance Management 101

Wealth Management

OCTOBER 27, 2022

Aaron Klein, co-founder and chief executive officer of Riskalyze, discusses how firms can leverage compliance as a tool for growth.

Wealth Management 79

Wealth Management Compliance Management 79

Nerd's Eye View

NOVEMBER 6, 2023

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: FinanceHQ has launched as a new digital lead generation platform for financial advisors, which takes a more niche-focused approach to matching prospective clients with advisors – representing a bet that capturing prospects (..)

Compliance 205

Compliance Valuation Financial Advisor Clients 205

Wealth Management

FEBRUARY 28, 2023

The newly-released tool seeks to automate multiple compliance processes, including share class monitoring.

Compliance 85

Compliance 85

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 286

Compliance Wealth Management Consulting Management 286

Abnormal Returns

OCTOBER 16, 2023

riabiz.com) Compliance Compliance is one of the biggest concerns of advisers. thinkadvisor.com) AI tools are coming for the compliance function. (riaintel.com) How many United Capital advisers will remain at Creative Planning when all is said and done?

Compliance 213

Compliance Financial Planner Financial Advice Investment Advisor 213

Abnormal Returns

MAY 22, 2023

open.spotify.com) Austin, Texas Are you a Texas-based adviser interested working with Ritholtz Wealth Management? transitiontoria.com) Practice management Talent retention is the key for advisory firms. kitces.com) Compliance costs are only going to grow, whether internal or outsourced.

Financial Advising 130

Financial Advising Estate Planning Wealth Management Compliance 130

Wealth Management

JANUARY 9, 2024

Sander Ressler's Vidiance aims to deliver client testimonials compliant with SEC marketing rules.

Consulting 107

Consulting Compliance Marketing Marketing 107

Abnormal Returns

JULY 10, 2023

investmentnews.com) Compliance There's no winning the cybersecurity war, just stalemate. financial-planning.com) Advisers don't like spending time on administrative and compliance issues. (citywire.com) AI implementation in finance requires good data, which big banks have.

Compliance 200

Compliance Recruitment Wealth Advisor Financial Planning 200

Abnormal Returns

FEBRUARY 5, 2024

kitces.com) In an ideal world compliance is a conversation not a prescription. (investmentnews.com) Advisers CFPs are, by and large, happy with their career choice. investmentnews.com) The advantages and disadvantages of a T-CRUT strategy. investmentnews.com) Ric Edelman with a defense of Bitcoin. obliviousinvestor.com)

Compliance 213

Compliance Taxes Management Investing 213

Abnormal Returns

OCTOBER 23, 2023

investmentnews.com) Compliance How to conduct and document an annual compliance review. investmentnews.com) Advisers Why the myth of a big wealth transfer from Baby Boomers persists. (riabiz.com) AI Is AI an existential threat to the business of financial advice?

Compliance 157

Compliance Estate Planning Financial Advice Financial Advisor 157

Nerd's Eye View

AUGUST 7, 2023

From there, the latest highlights also feature a number of other interesting advisor technology announcements, including: Wealth Management GPT has launched as one of the first standalone AI writing tools for financial advisors, distinguishing itself from other tools that are integrated within already-existing AdvisorTech tools (which raises questions (..)

Estate Planning 196

Estate Planning Wealth Management Financial Advisor Planning 196

Truemind Capital

MARCH 6, 2024

Wealth management is a noble career path. A wealth manager or an investment consultant helps you preserve or grow your wealth to achieve life goals. Unfortunately, the incentive structure based on commissions in established wealth management set-ups has compromised fiduciary responsibilities towards an investor.

Commission 52

Commission Investing Investments Compliance 52

Nerd's Eye View

FEBRUARY 17, 2023

Further, an investment adviser who can make trades on behalf of a client would be deemed to have custody of the client’s assets, which could substantively shift a very sizable portion of the wealth management RIA community under the custody rule, though it remains to be seen whether or what exact custody rule compliance requirements would be (..)

Financial Planner 187

Financial Planner Fiduciary Duty Retirement Planning Compliance 187

Wealth Management

SEPTEMBER 6, 2022

Real estate investment companies are facing a daunting task when it comes to properly reporting on vast quantities of data across environmental, social and governance factors. Here’s how technology can help.

Compliance 112

Compliance Government Investing Investments 112

Wealth Management

OCTOBER 31, 2023

The modern workplace requires financial firms to move with the times.

Compliance 109

Compliance Communication 109

Steve Sanduski

NOVEMBER 8, 2023

Dave Mantell , CFP®, CFA is a Managing Partner and wealth advisor at Stabler Wealth Management in Bellevue, WA. Best practices for incorporating pro bono work into your firm’s culture and clearing compliance hurdles. Where Jon and Dave would like to see our industry and pro bono planning in five years.

Financial Planning 69

Financial Planning Planning Wealth Management Medicine 69

Steve Sanduski

OCTOBER 24, 2023

Ethical and compliance challenges advisors need to address as they add AI to their workflows. Resources Related to This Episode Andrew Brzezinski on LinkedIn Institutional.Fidelity.Com/advisors Fidelity’s investment solutions website for advisors & wealth management firms.

Ethics 59

Ethics Wealth Management Compliance Financial Advice 59

Wealth Management

APRIL 17, 2024

Verdence/RIA+ will continue to offer outsourced investment management, with added services around succession, compliance and more.

Compliance 96

Compliance Management Investing Investments 96

Abnormal Returns

AUGUST 14, 2023

financial-planning.com) A review of recent adviso rtech news including the compliance landscape for Twitter alternatives. (riaintel.com) How to use adviser turnover to build a better, more cohesive practice. thinkadvisor.com) Advisor tech How advisory firms can use LLMs. riabiz.com) Should your client portfolios be even simpler?

Portfolio Management 213

Portfolio Management Compliance Portfolio Financial Planning 213

Wealth Management

FEBRUARY 26, 2024

As donors and their tax advisors report 2023 charitable gifts, they should ensure compliance with the substantiation requirements to avoid questions about, and possible disallowance of, their charitable deductions.

Taxes 108

Taxes Compliance 108

Wealth Management

AUGUST 2, 2023

In a new risk alert, SEC examiners stressed that firms have appropriate staffing to comply with AML regulations, especially after the wave of sanctions following Russia’s invasion of Ukraine.

Compliance 92

Compliance 92

Wealth Management

MAY 31, 2023

The Court ruled that a disclosure package submitted to IRS adequately disclosed transfer of company and related foreign accounts.

Compliance 101

Compliance Accounting 101

Sara Grillo

DECEMBER 11, 2023

There are a lot of people who consider their fees low but here’s a financial advisor who claims to be charging 60-80% lower fees than the “full-service” wealth management firms who are his competition. The opinions expressed herein do not necessarily represent the views of Sara Grillo or Grillo Investment Management, LLC.

Financial Advisor 59

Financial Advisor Financial Advice Wealth Management Consulting 59

Wealth Management

APRIL 7, 2024

How advisors can improve their compliance processes and set themselves up for success.

Compliance 94

Compliance 94

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 92

Compliance Clients Marketing Marketing 92

Tobias Financial

DECEMBER 12, 2022

Lonnie will serve as our Director of Tax Services and will lead all tax-related operations for our wealth management and financial planning clients. . Lonnie brings over 10 years of personal tax and accounting experience with a specialty in tax compliance, both domestic and international.

Wealth Management 52

Wealth Management Compliance Financial Advisor Tax Planning 52

Wealth Management

MARCH 6, 2024

Compliance isn’t rocket science, but it comes at a cost – both in terms of time and money.

Compliance 105

Compliance 105