Remove Fee Only Remove Financial Advisor Remove Numbers
article thumbnail

Why Advertising “Conflict-Free” Advice Could Violate The SEC’s Marketing Rule

Nerd's Eye View

As fiduciaries, financial advisors are required to disclose any conflicts of interest that exist between themselves and their current and potential clients. But no matter the size or directness of the conflict, it still needs to be disclosed to clients, at a minimum on the advisor's Form ADV Part 2A brochure.

article thumbnail

7 New Lessons Learned Building A Fee-Only RIA From Scratch: Years 3–5

Nerd's Eye View

Starting a new firm can be a nerve-wracking time for an entrepreneurially minded financial advisor, as making the jump involves a significant amount of professional and financial risk.

Fee Only 246
Insiders

Sign Up for our Newsletter

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

article thumbnail

Weekend Reading For Financial Planners (September 14–September 15)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.

article thumbnail

#FA Success Ep 356: Scaling To (Nearly) $2M Of Revenue As A Flat-Fee, Advice-Only Firm, With Sarah-Catherine Gutierrez

Nerd's Eye View

Welcome to the 356th episode of the Financial Advisor Success Podcast ! Sarah-Catherine is the founder of Aptus Financial, a fee-only financial planning firm based in Little Rock, Arkansas, that is approaching $2M in revenue and works with over 480 client households. Welcome everyone! Read More.

article thumbnail

Weekend Reading For Financial Planners (February 17-18)

Nerd's Eye View

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a study from Cerulli Associates indicates a lack of fee transparency represents a significant hurdle for many investors when considering working with a financial advisor. Read More.

article thumbnail

#FA Success Ep 351: Facilitating Successful Advisor Mergers & Acquisitions By Avoiding The Conflicts Of A Success Fee, With Jessica Polito

Nerd's Eye View

Welcome back to the 351st episode of the Financial Advisor Success Podcast ! Jessica is the Founder and Principal for Turkey Hill Management, a mergers & acquisitions consulting firm that assists financial advisors with the sale, acquisition, integration, or merger of their firms. Read More.

article thumbnail

101 Ways Advisors Can Add Value And Attract Their Ideal Clients

Nerd's Eye View

Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors.

Clients 246