Wealth Management

APRIL 14, 2023

Overcoming the RIA/Annuity disconnect by addressing common financial advisor objections.

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Fiduciary Duty Financial Advisor 78

Wealth Management

SEPTEMBER 7, 2022

Court finds that trustee failed to carry out contractual obligations.

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Fiduciary Duty 112

Wealth Management

APRIL 20, 2023

Redd examines litigation in recent years that’s exposed a possible exception to the widely held belief that exercising a power of appointment isn’t a fiduciary act.

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Fiduciary Duty 62

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 (..)

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Financial Planner Fiduciary Duty Retirement Planning Compliance 189

Wealth Management

APRIL 20, 2023

By not taking ESG factors into account, financial advisors may be shirking their fiduciary duty.

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Wealth Management

MARCH 20, 2023

Several law firms are looking into whether Focus’ board members breached their fiduciary duties in agreeing to the sale at $53 per share.

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Fiduciary Duty Sales 95

MarketWatch

MARCH 13, 2023

9 buyout proposal by management. The resignation letter indicated in part that it is the view of the former special committee directors that they could not satisfy their fiduciary duties to the company and fulfil their mandate in the circumstances,” the bank said. The company said Feb. to C$15.75.

Fiduciary Duty 40

Fiduciary Duty Banking Management Valuation 40

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. But with many options available, how do you choose the right one?

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Wealth Management Management Risk Tolerance Retirement Planning 59

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. But with many options available, how do you choose the right one?

Wealth Management 52

Wealth Management Management Risk Tolerance Retirement Planning 52

Park Place Financial

SEPTEMBER 8, 2022

To facilitate more effective personal financial management, utilize this guide to find an advisor best suited to meet your needs and desires. . Typically, these advisors are skilled in multiple areas, such as general wealth management or estate planning. Wealth Manager . Reflect on Your Financial Situation .

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Financial Advisor Fiduciary Duty Certified Financial Planner Financial Planner 52

eMoney Advisor

DECEMBER 20, 2022

As cryptocurrency continues to become a more significant part of the investment world, what responsibility lies with financial advisors who have a fiduciary duty to protect their clients? The Fiduciary Duty is exemplified by the Duty of Care, which applies to financial advice about all financial assets.

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CFP Fiduciary Duty Financial Advice Financial Advisor 62

Sara Grillo

AUGUST 14, 2023

Legal definition of the fiduciary standard To quote directly from a paper by Attorney Lorna Schnase , two bodies of law form the legal basis for the fiduciary standard: Common law: Under common law principles of agency, an investment adviser, as agent, owes fiduciary duties to its client, as principal.3

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Financial Advisor Fiduciary Duty Insurance Financial Advice 52

WiserAdvisor

JUNE 12, 2022

The advisor can also help you create a well-diversified investment portfolio , plan your expenses and liabilities, and also help you manage your overall finances smoothly. For example, some financial advisors charge a rough percentage of the total assets they manage, while others have a fixed rate.

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Financial Advisor Fiduciary Duty Commission Financial Planning 52

Tobias Financial

JULY 11, 2023

It signifies a commitment to professionalism, ethics, and a fiduciary duty to act in our clients’ best interests. By adhering to these principles, our advisors uphold the highest standards of integrity, providing the utmost care and diligence in managing our client’s financial well-being.

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Certified Financial Planner Financial Planner Fiduciary Duty CFP 40

Sara Grillo

DECEMBER 22, 2023

. #3 Leverage Fiduciary resources and learn what a pure fiduciary is Institute for the Fiduciary Standard houses a library of Advisor On My Side resources. Read about the six core fiduciary duties. Six Core Fiduciary Duties for Financial Advisors. Check it out. link] Stettner, Morey. (9 MarketWatch.

Financial Advisor 52

Financial Advisor Fiduciary Duty Compliance Financial Advice 52

Ron A. Rhodes

AUGUST 6, 2023

I have increasingly witnessed registered investment adviser (RIA) firms, as well as brokerage firms, generally disavow (often in their client services agreement) any duty to manage the investment portfolios of…

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Portfolio Management Taxes Clients 61

Brown Advisory

JANUARY 3, 2023

The “mainstreaming” of sustainable investing has been the story of the decade in investment management. Notably, higher levels of scrutiny from regulators have already ratcheted up expectations for funds and managers that wish to assert their environmental, social, and governance or “ESG” research credentials.

Fiduciary Duty 52

Fiduciary Duty Management Portfolio Investing 52

Brown Advisory

JANUARY 3, 2023

The “mainstreaming” of sustainable investing has been the story of the decade in investment management. Notably, higher levels of scrutiny from regulators have already ratcheted up expectations for funds and managers that wish to assert their environmental, social, and governance or “ESG” research credentials.

Fiduciary Duty 52

Fiduciary Duty Management Portfolio Investing 52

Brown Advisory

JANUARY 3, 2023

The “mainstreaming” of sustainable investing has been the story of the decade in investment management. Notably, higher levels of scrutiny from regulators have already ratcheted up expectations for funds and managers that wish to assert their environmental, social, and governance or “ESG” research credentials.

Fiduciary Duty 52

Fiduciary Duty Management Portfolio Investing 52

Brown Advisory

DECEMBER 5, 2023

Yet a whole slew of relevant environmental, social, and governance-related information has been panned by political agendas that are far removed from the purview of investment managers. All of these potential outcomes of a company’s ability to manage its environmental, social, and governance issues should be of interest to investors.

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Fiduciary Duty Government Clients Investing 52

Walkner Condon Financial Advisors

APRIL 17, 2023

At Walkner Condon we use the assets under management (AUM) model. We get paid based on a percentage of a client’s assets that we manage. This fee covers not only investment management, but also financial planning. What does it mean to be a fiduciary? A fiduciary is someone who manages money or property for someone else.

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Fee Only Financial Advisor Certified Financial Planner Commission 52

Walkner Condon Financial Advisors

APRIL 21, 2023

How we are Compensated At Walkner Condon we use the assets under management (AUM) model. We get paid based on a percentage of a client’s assets that we manage. This fee covers not only investment management, but also financial planning. What does it mean to be a fiduciary?

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Certified Financial Planner Financial Advisor Fee Only Financial Planner 52

Truemind Capital

SEPTEMBER 10, 2019

Investment management is never a part-time activity but a full-time job. Quality investment management is much more than selecting schemes from star-rating websites or buying a stock based on little insights. Fiduciary duty should be on the top of the mind of any genuine adviser. 🔊 Play Audio.

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Investing Investments Asset Allocation Fiduciary Duty 52

WiserAdvisor

NOVEMBER 21, 2022

This is done to establish a fiduciary duty within the candidate and make them a reliable, upstanding member of the fraternity. Financial advisors may or may not have a fiduciary duty, whereas CFPs must uphold the fiduciary standard of the Board. Insurance planning and debt management.

Certified Financial Planner 52

Certified Financial Planner Financial Planner CFP Financial Planning 52

Park Place Financial

NOVEMBER 29, 2022

Trustees manage the funds wisely and ensure they are distributed to the beneficiaries, according to the grantor’s wishes. General financial planners provide wealth management services, helping their clients establish goals and evaluating and tweaking their strategies on the path to financial freedom. . Create a Trust .

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Estate Planning Economics Planning Financial Planner 52

Park Place Financial

NOVEMBER 29, 2022

manage exchange risk. At Park Place Financial, we observe our fiduciary duty to always act in our client’s best interest, meaning you will receive the utmost transparency whenever you rely on us for financial. Fortify capital protection: If you wish to safeguard your capital, structured products. can mitigate risk exposure. ?

Certified Financial Planner 52

Certified Financial Planner Fiduciary Duty Retirement Planning Retirement 52

Ron A. Rhodes

DECEMBER 12, 2023

Can the use of a title – such as “financial planner” (or CFP) or “financial consultant” or “wealth manager” or “investment consultant” or similar – by the registered represent of…

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Financial Planner Wealth Management Financial Consultant CFP 67

WiserAdvisor

AUGUST 8, 2022

Moreover, these high-net-worth values are not calculated on physical assets but on liquid ones, which may be relatively more volatile to manage. Managing vast sums of money, and investments like venture capital, non-fungible tokens (NFTs), and others, can be confusing. For instance, you can hire a fiduciary.

Wealth Management 52

Wealth Management Financial Planning Financial Advisor Taxes 52

WiserAdvisor

JUNE 6, 2023

High-net-worth individuals who possess a significant number and value of assets and complex financial portfolios may find it hard to manage their finances. Transferring ownership and transitioning the business to new management can be a significant challenge. Business succession: Many high-net-worth individuals are business owners.

Estate Planning 52

Estate Planning Planning Taxes Insurance 52

WiserAdvisor

AUGUST 18, 2023

These fees can be based on various methods, such as an hourly rate, a flat fee for specific projects, a percentage of Assets under Management (AUM), or a combination of these approaches. They can offer personalized financial planning, comprehensive investment management, retirement planning, and tax optimization, among several other things.

Financial Advisor 52

Financial Advisor Commission Fee Only Financial Planning 52

Good Financial Cents

JUNE 11, 2023

You see, financial advisors that focus primarily on wealth management can be costly to keep around. They charge either a percentage of assets managed or a flat hourly rate that can run as high as several hundred dollars per hour, plus trading commissions and administrative fees. Personal Capital to the rescue.

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Management Investing Investments Wealth Management 80

Brown Advisory

SEPTEMBER 12, 2019

Put simply, trustees serve as fiduciaries with investment authority over assets that are intended to benefit another person or persons; trustees should use every device at their disposal in an effort to maximize the investment returns of the trust they oversee.

Investing 52

Investing Investments Fiduciary Duty Portfolio 52

Brown Advisory

SEPTEMBER 12, 2019

Put simply, trustees serve as fiduciaries with investment authority over assets that are intended to benefit another person or persons; trustees should use every device at their disposal in an effort to maximize the investment returns of the trust they oversee. ESG AND FIDUCIARY RESPONSIBILITY.

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Investing Investments Fiduciary Duty Portfolio 52

Sara Grillo

MARCH 11, 2024

He’s taking the world by storm as an hourly financial planner, not managing any assets just giving out powerful financial planning guidance that clients love. He finds that alot of people prefer to manage their investments themselves, just with a little guidance from him. Yeah, the title basically says it all. Good for you, bro.

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Financial Planner Fiduciary Duty Financial Advisor Communication 105

WiserAdvisor

MAY 31, 2022

You can reach out to a professional financial advisor to help you in safely managing and growing your finances and avoiding offers/investments that may seem risky or fishy. As a Registered Investment Advisor (RIA) firm with the SEC, they are fiduciaries who put clients’ interests ahead of everything else. About Dash Investments.

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Investing Investments License Accounting 52

Don Connelly & Associates

APRIL 8, 2024

Here we are again—another presidential election year. If it's like the last couple of elections, financial advisors are sure to see some clients wringing their hands over which candidate will win the White House and how that will impact the financial markets and their investments.

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Clients Investing Investments Financial Advisor 52

Inside Information

SEPTEMBER 28, 2021

This second petition includes some draft language that the SEC could adopt, which spells out that a broker should be required to either register its reps with the SEC or stop calling those reps advisors, financial planners, wealth managers etc. giving advice on managing a client portfolio). [Note the term ‘ his ’ throughout.

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