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In 2004, the SEC significantly strengthened the compliance responsibilities of investment advisers when Rule 206(4)-7 (also known as the "Compliance Rule") went into effect, requiring them to adopt and implement written compliance policies and procedures, review such policies and procedures annually, and designate a Chief Compliance Office to administer such policies and procedures.
In August of 2022, I explained how Amazon became ordinary. Today I want to discuss how they have become bad. Since I first discussed the companies that lost my affection during the pandemic nearly two years ago, Amazon continues to stand out as delivering an ever-worsening set of experiences. I wanted to wait until after the (faux retail holiday) Prime Day(s) ended before sharing a few tales of further (to use Cory Doctorow’s phrase) “ Enshittification.” There are many problem
Today, in the Calculated Risk Real Estate Newsletter: Part 2: Current State of the Housing Market; Overview for mid-October A brief excerpt: Yesterday, in Part 1: Current State of the Housing Market; Overview for mid-October I reviewed home inventory and sales. Most measures of house prices have shown an increase in prices over the last several months, and a key question I discussed in July is Will house prices decline further later this year?
Where are top advisors focusing in 2025? AcquireUp’s 2025 Industry Index reveals it all. Based on insights from 200+ financial professionals nationwide, discover why 74% say seminars and referrals deliver the best ROI, how automation is helping advisors scale faster, and why only 8% are tapping into niche marketing (a major growth opportunity!). Whether you're refining your client acquisition strategy or scaling your practice, this report gives you the real-world data, benchmarks, and action ste
Podcasts Dan Haylett talks with George Kinder on the true impact of Life Planning on retirement. (humansvsretirement.com) Daniel Crosby talks financial wellness and therapy with Amanda Clayman. (standarddeviationspod.com) Brendan Frazier talks about why advisers should shift from "advice giver" to "thinking partner." (wiredplanning.com) Michael Kitces talks with Brett Danko who is the Founder of Brett Danko Educational Center, and the CEO and Managing Partner for Main Street Financial Solutions.
My buddy Jonathan Miller does not hesitate to call out the weasels who represent those who work in his industry: NAR Proves That Trade Groups Aren’t Infallible With an appalling culture of secrecy maintained by wildly overpaid executives (I believe their CEO is paid close to $3 million per year), NAR seems to be imploding right now. These three prominent real estate firms are backing away from the management cesspool that has severely damaged the National Association of Realtors (NAR) brand.
My buddy Jonathan Miller does not hesitate to call out the weasels who represent those who work in his industry: NAR Proves That Trade Groups Aren’t Infallible With an appalling culture of secrecy maintained by wildly overpaid executives (I believe their CEO is paid close to $3 million per year), NAR seems to be imploding right now. These three prominent real estate firms are backing away from the management cesspool that has severely damaged the National Association of Realtors (NAR) brand.
From the MBA: Mortgage Applications Increase in Latest MBA Weekly Survey Mortgage applications increased 0.6 percent from one week earlier, according to data from the Mortgage Bankers Association’s (MBA) Weekly Mortgage Applications Survey for the week ending October 6, 2023. The Market Composite Index, a measure of mortgage loan application volume, increased 0.6 percent on a seasonally adjusted basis from one week earlier.
Top clicks this week The stock market is coming to terms with higher interest rates (for longer). (awealthofcommonsense.com) Why simplicity in investing can help reduce errors. (mrzepczynski.blogspot.com) Why some people like to research and hold individual stocks instead of funds. (investmenttalk.co) How major asset classes performed in September 2023.
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with a new study from Herbers & Company that provides insight into the financial planning services that consumers demand the most, and which services financial advisory firms offer the most often. The study also identified factors that separated firms experiencing the greatest organic growth from others, which include offering a comprehensive suite of services, having a higher 'close' ra
Speaker: Claire Grosjean, Global Finance & Operations Executive
Finance teams are drowning in data—but is it actually helping them spend smarter? Without the right approach, excess spending, inefficiencies, and missed opportunities continue to drain profitability. While analytics offers powerful insights, financial intelligence requires more than just numbers—it takes the right blend of automation, strategy, and human expertise.
Realtor.com has monthly and weekly data on the existing home market. Here is their weekly report from Sabrina Speianu: Weekly Housing Trends View — Data Week Ending Oct 7, 2023 • Active inventory declined, with for-sale homes lagging behind year ago levels by 2.4%. During the past week, we observed the 16th successive drop in the number of homes available for sale when compared to the previous year.
Strategy The key to successful investing is patience. (blog.validea.com) Five common mistakes investors make. (blogs.cfainstitute.org) When aiming down the middle makes sense. (humbledollar.com) Finance Private credit is the new bank. (wsj.com) How the Intercontinental Exchange ($ICE) became a big player in the mortgage business. (wsj.com) CRE Even Texas's office buildings are seeing high vacancy rates.
When deciding on a marketing strategy to pursue, one of the key factors for financial advisory firms to consider is efficiency. Different strategies have different Client Acquisition Costs (CACs), in terms of both hard-dollar marketing expenses and the cost of the advisor's time spent on the strategy, and an efficient market strategy is one that can effectively attract new clients while minimizing the amount spent to acquire them.
Your financial statements hold powerful insights—but are you truly paying attention? Many finance professionals focus on the income statement while overlooking key signals hidden in the balance sheet and cash flow statement. Understanding these numbers can unlock smarter decision-making, uncover risks, and drive long-term success. Join David Worrell, accomplished CFO, finance expert, and author, for an engaging, nontraditional take on reading financial statements.
Note: I covered apartments and offices in the newsletter: Moody's: "Apartment Market Softens, Office Evolution Continues, and Retail On Shaky Ground" From Moody’s Analytics economists Thomas Lasalvia, Lu Chen and Nick Luettke: Apartment Market Softens, Office Evolution Continues, and Retail On Shaky Ground Over the past decade, traditional retail forms have been challenged by e-commerce’s boom, whose share as a percentage of total retail sales has been constantly hovering above 15% since early 2
Books Walt Hickey talks with Taylor Lorenz author of "Extremely Online: The Untold Story of Fame, Influence, and Power on the Internet." (numlock.com) A Q&A with Tom Wheeler author of "Techlash: Who Makes the Rules in the Digital Gilded Age?" (vox.com) Annie Duke talks with Jay Van Bavel co-author of "The Power of Us: Harnessing Our Shared Identities to Improve Performance, Increase Cooperation, and Promote Social Harmony.
Mark Bruno and Megan Carpenter dive into topics like how to pitch a speaker to a conference organizer, where events budgets are headed and why weekend events are a thing.
Welcome everyone! Welcome to the 354th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Grier Rubeling. Grier is the founder of Advisor Transition Services, a consulting firm based in Cary, North Carolina, that helps advisors switch from one broker-dealer or custodian platform to another, often when breaking away from a larger firm to start up their own.
Automation is transforming finance but without strong financial oversight it can introduce more risk than reward. From missed discrepancies to strained vendor relationships, accounts payable automation needs a human touch to deliver lasting value. This session is your playbook to get automation right. We’ll explore how to balance speed with control, boost decision-making through human-machine collaboration, and unlock ROI with fewer errors, stronger fraud prevention, and smoother operations.
With the release of the CPI report this morning, we now know the Cost of Living Adjustment (COLA), and the contribution base for 2024. From Social Security: Social Security Announces 3.2 Percent Benefit Increase for 2024 Social Security and Supplemental Security Income (SSI) benefits for more than 71 million Americans will increase 3.2 percent in 2024 , the Social Security Administration announced today.
AI AI investment models can't explain how they do what they do. (msn.com) How JP Morgan Asset Management is rolling out AI tools for its analysts and PMs. (institutionalinvestor.com) How AI can be used to parse corporate risk disclosures. (papers.ssrn.com) Box spreads The pros and cons of using box spreads to generate cash-like returns. (morningstar.com) How to calculate the cost of borrowing through the options market.
My partner Barry Ritholtz speaks to Michael Lewis, whose latest book is “Going Infinite: The Rise and Fall of a New Tycoon,” on FTX founder Sam Bankman-Fried. Lewis has been the subject of a massive uproar on social media for the way his book portrays SBF and the way he’s spoken about his subject during the promotion tour, specifically on ’60 Minutes’ last Sunday.
Based off SkyStem's popular e-Book, the book of secrets to the month-end close will be revealed in this one-hour webinar. Learn leading practices when it comes to building a strong and sustainable month-end close that has room to grow and evolve. Learn about the power of precise estimates, why reconciliations are critical to closing the books, how and when to automate, and how the chart of accounts play into your close process.
From the Fed: Minutes of the Federal Open Market Committee, September 19-20, 2023. Excerpt: Participants noted that the data received over the past several months generally suggested that inflation was slowing. Even with these favorable developments, they emphasized that further progress was needed to get inflation sustainably to 2 percent. Participants pointed to the softening of price inflation for goods amid improving supply conditions and to declining housing services inflation.
The biz The bots have come for podcasting. (semafor.com) Rogue AI voices are already out in the wild. (nytimes.com) We don't have great defenses for deepfakes. (variety.com) Companies Benjamin Gilbert and David Rosenthal talk about the latest iteration of Nvidia ($NVDA). (acquired.fm) Logan Bartlett talks AI with Dario Amodei, co-founder and CEO of Anthropic.
Recent Nareit research looked at actively-managed real estate funds, REIT balance sheets and the state of ESG among publicly-traded real estate investors.
Welcome to the latest episode of The Compound & Friends. This week, Michael Batnick, Jan Van Eck, and Andrew Beer discuss the bond market, the national debt, private-credit, alts, managed futures, the Sam Bankman-Fried trial, and much more! You can listen to the whole thing below, or find it wherever you like to listen to your favorite pods! Listen here: Apple podcasts Spotify podcasts Google podcasts Everywhere else.
Like being inches from the end zone, many advisors are frustratingly close to their next level of success. You work hard. You put in the hours. But if your closing rate is stuck or your pipeline feels like a revolving door… something has to change. Most advisors are just one small shift away from dramatically increasing their revenue. The difference?
Today, in the Calculated Risk Real Estate Newsletter: Part 1: Current State of the Housing Market; Overview for mid-October A brief excerpt: The NAR reported sales were at a “seasonally adjusted annual rate of 4.04 million in August. Year-over-year, sales fell 15.3% (down from 4.77 million in August 2022).” This was in line with the local markets I tracked for August.
Exciting news! I am heading to Charlotte next month, and I will be bringing a full complement of the crew with me! We will be meeting with clients and hanging with the team from our Charlotte offices. We are also meeting prospective clients and interviewing a few new folks for the firm. You can join me, Josh Brown, Michael Batnick and Blair duQuesnay and several of our financial advisors, including Managing Partner Kris Venne, and Ritholtz Wealth’s President, Jay Tini.
Join Downtown Josh Brown and Michael Batnick for another round of What Are Your Thoughts? On this week’s episode, Josh and Michael discuss the biggest topics in investing and finance, including: ►Have Treasury Bonds Bottomed? – The crash in long-dated Treasurys since the pandemic now ranks as one of the most destructive financial crashes ever.
Managing spend is more than a cost cutting exercise – it's a pathway to smarter decisions that unlock efficiency and drive growth. By understanding and refining the spending process, financial leaders can empower their organizations to achieve more with less. Explore the art of balancing financial control with operational growth. From uncovering hidden inefficiencies to designing workflows that scale your business, we’ll share strategies to align your organization’s spending with its strategic g
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