Wealth Management

OCTOBER 26, 2023

Compliance has not kept up with the current the dynamic regulatory environment and its multitude of requirements.

Compliance 109

Compliance Financial Services 109

NAIFA Advisor Today

JULY 25, 2023

Tom Cothron is an agency manager for a multi-line insurance company offering auto, home, and life insurance products. Tom is a seasoned expert, spending 40-plus years dedicated to the financial services industry. He currently presides as NAIFAs President-Elect.

Financial Services 52

Financial Services Insurance Management 52

Hubly

APRIL 25, 2023

With Hubly being the first — and only — process management software purpose-built for the financial advisory industry, we get asked a lot of questions. Two that come up often are “How is Hubly different from my financial services CRM?” and “What can it do that I can’t already do with Redtail or Wealthbox?”

Financial Services 52

Financial Services Management 52

Tobias Financial

OCTOBER 17, 2023

We are proud to announce that our Wealth Advisor, Franklin Gay, CFP®, EA and Client Service Manager, Melanie Leal Ramirez, will be presenting at the American Society for Quality (ASQ) Southeast Florida Section on Quality in the Financial Services Sector on October 17 th.

Financial Services 52

Financial Services Wealth Advisor CFP Clients 52

Abnormal Returns

FEBRUARY 26, 2024

who is the Founder of Illuminate Wealth Management about how to fund your RIA. morningstar.com) Alts managers are gearing up to get in front of retail investors. investmentnews.com) Advisers The American College of Financial Services notes the coming shortage of advisers.

Wealth Management 266

Wealth Management Financial Services Retail Insurance 266

Wealth Management

APRIL 7, 2024

How advisors can use this technology to their advantage.

Financial Services 89

Financial Services 89

Nerd's Eye View

JANUARY 24, 2023

Jennifer is the CEO and a Senior Advisor for Milestone Financial Planning, an independent RIA based in Bedford, New Hampshire, that oversees $360 million in assets under management for 225 client households.

Management 216

Management Financial Advisor Planning Retirement 216

SEI

SEPTEMBER 13, 2022

Introducing the security management partner. In this impact brief, Joseph Krull addresses the state of cybersecurity for financial services and introduces the security management partner concept to bring financial industry precision to financial institution security. Case study. vlaskowski.

Management 52

Management Financial Services Compliance Budgeting 52

Wealth Management

MAY 13, 2024

Live, in person and interactive training works best to help adults learn about 401(k)s.

Financial Services 79

Financial Services 79

Nerd's Eye View

OCTOBER 9, 2023

Notably, the point of an SEO strategy is to drive users to an advisory firm's website so that those visitors can eventually be converted into paying clients.

Engineering 177

Engineering Financial Advisor Management Clients 177

Nerd's Eye View

OCTOBER 18, 2022

equivalent of nearly $60 million in assets under management for 115 client households. Louis is the Director of WealthUp, an independent advice practice based in Cape Town, South Africa, that oversees the U.S.

Financial Planning 130

Financial Planning Planning Management Investing 130

Advisor Perspectives

SEPTEMBER 13, 2023

Its impact on the wealth management profession has been profound, from gravity-defying value creation on the stock market to optimizing the day-to-day operations of an advisory practice. Artificial Intelligence has been a category-killer among investment themes in the past year.

Management 52

Management Investing Investments Wealth Management 52

Wealth Management

MAY 1, 2024

Brian Hughes has had a 30-year career in financial services, most recently as founder and president of wealth management consultancy Hughes Growth Strategies.

Wealth Management 97

Wealth Management Financial Services Consulting Management 97

NAIFA Advisor Today

DECEMBER 20, 2023

As a Retirement Income Certified Professional (RICP) and a Life and Annuities Certified Professional (LACP), John advises clients on retirement planning, investment planning, and risk management. He serves as a NAIFA leader and has held several leadership roles at the local, state, and national levels.

Financial Services 52

Financial Services Financial Planner Retirement Planning Financial Advice 52

Nerd's Eye View

MAY 17, 2024

Altogether, the study suggests that social media engagement is driven more by the quality (and originality) of the advisor's content, rather than the quantity of posts. Read More.

Financial Planner 130

Financial Planner Wealth Management Retirement Investment Planning 130

Wealth Management

APRIL 29, 2024

Financial services still rely on content. Upgrade workflows with the Content Cloud for file management, collaboration, and security.

Financial Services 95

Financial Services Management 95

Wealth Management

APRIL 4, 2023

AI-enabled technologies have not taken over but they are starting to move into client-facing, front-of-the-house roles.

Financial Services 102

Financial Services Marketing Marketing Clients 102

The Irrelevant Investor

JULY 30, 2019

This in and of itself shouldn't necessarily disqualify somebody from giving financial advice, but at the very least, the potential client ought to know about it. Unfortunately, some of the behavior in the financial services industry makes the allegations described in this article look virtuous in comparison.

Financial Services 52

Financial Services Certified Financial Planner Financial Planner Certification 52

International College of Financial Planning

MARCH 31, 2023

Wealth management is an important aspect of the financial world that focuses on managing wealth to help individuals and families achieve their financial goals. Wealth management involves a range of financial services as an investment, finance, real estate, tax, and risk management.

Wealth Management 52

Wealth Management Management Risk Management Ethics 52

Wealth Management

MARCH 18, 2024

Especially in 401(k) plans.

Financial Services 79

Financial Services Planning 79

NAIFA Advisor Today

MARCH 27, 2023

After Curt Lindsay earned his bachelor's degree in business and master’s degree in finance, he chose to follow his interest in economics and, in 1996, he entered the insurance and financial services industry as an agent and registered representative with Equitable.

Wealth Management 52

Wealth Management Management Financial Services Insurance 52

Wealth Management

JANUARY 25, 2023

Proactive ways to attract and retain diverse talent from PlanCorp's chief talent officer.

Financial Services 114

Financial Services 114

Steve Sanduski

JANUARY 16, 2024

In a Nutshell: Back in 1999, Mark Hurley dropped a bombshell white paper that predicted the wealth management industry would be consolidated into less than 100 firms, there would be a huge amount of M&A, and the small RIAs would fall by the wayside. The first part of Mark’s prediction definitely came true.

Wealth Management 59

Wealth Management Management Clients Financial Services 59

NAIFA Advisor Today

JUNE 21, 2023

As an Agent, Rith Nou offers her clients products to help meet different insurance and financial needs including college funding, retirement, managing costs for extended care, and income strategies.

Financial Services 52

Financial Services Insurance Retirement Clients 52

Hubly

OCTOBER 5, 2022

Trying to manage multiple clients and firm activity with spreadsheets, notebooks, CRM tasks, and calendar reminders is clunky and inefficient. Hubly's powerful workflow management software is the innovative solution that the financial services industry has been waiting for.

Management 52

Management Financial Services Clients 52

Nerd's Eye View

APRIL 26, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the Department of Labor released the final version of its Retirement Security Rule (a.k.a. Read More.

Financial Planner 213

Financial Planner Commission Financial Advisor Communication 213

Advisor Perspectives

APRIL 25, 2024

We will discuss new research by Dr. Wade Pfau, professor at The American College of Financial Services. With nearly 4.5 million Americans turning 65 in 2024, advisors are navigating four core risks that will impact their portfolios in retirement: longevity, inflation, volatility, and emotions.

Retirement Planning 102

Retirement Planning Retirement Planning Financial Services 102

The Big Picture

OCTOBER 28, 2023

Business Insider ) • UBS Looks Beyond Credit Suisse to Bank Even More Billionaires : The return of CEO Sergio Ermotti and the acquisition of its Swiss rival have the bank doubling down on wealth management and expanding in the US. Wellington is one of the world’s top 20 asset managers, was founded in 1933, and runs $1.2

Wealth Management 271

Wealth Management Financial Services Banking Management 271

Nerd's Eye View

MAY 5, 2023

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week’s edition kicks off with the news that the House Financial Services Committee unanimously passed a bill that would direct the SEC to conduct a study and carry out a rulemaking on the definition of a "small entity" to reduce the compliance burden on small businesses, (..)

Financial Planner 189

Financial Planner Financial Services Electronics Compliance 189

Wealth Management

DECEMBER 1, 2022

EP Wealth picks up its second East Coast firm, adding $274M in assets.

Financial Services 101

Financial Services Wealth Advisor Assets 101

Wealth Management

MARCH 30, 2023

Only 28% of advisors are female.

Financial Services 117

Financial Services 117

Carson Wealth

DECEMBER 13, 2022

Financial service professionals call themselves lots of things — most of the time using the title established by their firm. Regulators of financial planning firms and accrediting bodies do not lay out differences in nomenclature. RIAs commonly use two titles for their IARs: Financial Advisor and Wealth Manager.

Wealth Management 52

Wealth Management Financial Advisor Management Financial Planner 52

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 59

Wealth Management Management Risk Tolerance Retirement Planning 59

Nerd's Eye View

NOVEMBER 29, 2022

Welcome back to the 309th episode of the Financial Advisor Success Podcast ! Anh is the Founder and Managing Partner for SageMint Wealth, a corporate LPL-affiliated RIA based in Orange, California, that oversees nearly $325 million for 195 client households. My guest on today's podcast is Anh Tran.

Estate Planning 228

Estate Planning Financial Advisor Financial Services Clients 228

Nerd's Eye View

DECEMBER 6, 2023

Over the past several years, the financial services industry has undergone a tremendous evolution in how financial advisers deliver and charge for their services. While commission-based models remain in use, fee-for-service models (including AUM, hourly, retainer, and subscription) have become increasingly popular.

Investing 237

Investing Investments Financial Advising Retirement Planning 237

Nerd's Eye View

SEPTEMBER 13, 2022

Carolyn is the President of Thrivent Advisor Network, an RIA platform that offers partnership and affiliate models for financial advisors and oversees $6.5 billion in assets managed by over 20 affiliated independent advisor businesses.

Financial Advisor 159

Financial Advisor Financial Services Ethics Recruitment 159

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