Mullooly Asset Management

JUNE 30, 2022

In this week’s podcast, Tom and Casey discuss how crucial communication is for the investment advisor-client relationship. We take a different investment approach when money is needed in the short-term vs. growing it over the long-term.

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International College of Financial Planning

JULY 31, 2023

Let’s explore the role of investment advisors in helping individuals avoid these pitfalls and make informed decisions. By becoming an investment advisor, you can assist others in achieving their goals and strengthening your own financial journey. By diversifying investments advisors can help with asset allocation.

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Mullooly Asset Management

OCTOBER 20, 2022

In this week’s video, Tom references a survey done by AARP that shows 45% of people would rather go to the dentist than meet with an investment advisor. People deserve complete transparency when working with an investment advisor.

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International College of Financial Planning

MARCH 24, 2024

Understanding the nuanced differences between an investment advisor and a financial planner is vital for individuals in India aspiring to carve a niche in the financial sector. Work Profiles: Diving Deeper Investment Advisor: Investment advisors are specialists who focus on the nuances of investment opportunities.

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International College of Financial Planning

NOVEMBER 10, 2021

There is great demand for Investment Advisor professionals in India and here we look at the various Investment Advisor Courses and Training Programs that you can take. The demand for Investment Advisors has been constantly rising over the last two decades.

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Wealth Management

MAY 9, 2024

CFO Brian Dillbeck explains how deep integration within the CRM of the $24.4 billion AUM firm makes client data easy to access.

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Wealth Management

MAY 9, 2024

Aaron Hodari, the chief investment officer at Schechter, provides a peek inside the $3.45 billion RIA’s moderately aggressive model portfolio.

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XY Planning Network

DECEMBER 11, 2023

Unless your firm is registered with the SEC, your business is likely subject to the Beneficial Ownership Information (BOI) reporting requirements under the Corporate Transparency Act. This post dives into key details and what you need to know as we head towards 2024 to ensure you’re compliant.

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Wealth Management

MAY 17, 2023

After growing nearly 800% in five years, PCIA plans to move about $1 billion in client assets to Goldman Sachs to improve custodial services and access.

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Abnormal Returns

OCTOBER 21, 2024

(youtube.com) The biz Schwab Advisor Solutions will look to boost revenue, just not through custody fees. riabiz.com) XYPN Planning Network has launched a new registered investment advisor corporate affiliation model, Sapphire. thinkadvisor.com) Advvvisortech Vanilla just raised a new round of capital.

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Wealth Management

MARCH 9, 2023

With $400 million in assets, Cornerstone is the 15th acquisition in PCIA history and builds on roughly 500% growth in just five years.

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Wealth Management

JULY 12, 2023

Executives say the funding will fuel the next stage of growth for PCIA, which has already expanded assets by some 700% since early 2018.

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Nerd's Eye View

SEPTEMBER 20, 2024

Further, the survey showed the continued predominance of the AUM fee model amongst state-registered firms (at the same time, more than half of firms said they charge on a fixed-fee or hourly basis, suggesting many firms utilize multiple fee models) and identified the most common areas of regulatory enforcement during the year, with failure to register (..)

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Brown Advisory

APRIL 20, 2022

Good Preparation Leads to a Good Audit Experience: What to Expect from Your Investment Advisor mhannan Wed, 04/20/2022 - 06:03 After an extended period of strong returns that began in 2009, many not-for-profit (NFP) organizations find themselves increasingly challenged to earn the traditional target of an inflation-adjusted 5% annual spending rate.

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Wealth Management

AUGUST 19, 2022

The $600 million acquisition advances Equitable’s wealth management growth strategy.

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Wealth Management

JULY 12, 2024

Effective immediately, Prime Capital Investment Advisors will become Prime Capital Financial, while Pensionmark rebrands to World Investment Advisors, a nod to its parent company.

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Wealth Management

MARCH 8, 2023

Listening to what they say and watching for how they say it.

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Wealth Management

JULY 24, 2024

Investment Advisors Financial Group sought more autonomy, which led them to the IBD. It’s the latest team to leave Osaic after the firm’s rebranding from Advisor Group.

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Wealth Management

APRIL 14, 2023

OneDigital acquired Huntington National Bank’s 401(k) and retirement plan business this week, while Clearstead Advisors picked up local firm CLS Consulting. The Mather Group and NewEdge Wealth both announced key hires.

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Abnormal Returns

OCTOBER 16, 2023

wiredplanning.com) Daniel Crosby talks with Matt Reiner partner at Capital Investment Advisors about the future of financial advice. Podcasts Brendan Frazier talks with Meghaan Lurtz about re-engaging with existing clients. standarddeviationspod.com) M&A Are smaller RIAs at risk because of national, full-service firms?

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Wealth Management

JULY 31, 2024

based registered investment advisor with over $1.35 Rodgers & Associates Wealth Advisers, a Lancaster, Pa.-based billion in client assets and 25 employees.

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Advisor Perspectives

OCTOBER 8, 2024

Whether you’re transitioning from another firm or starting from scratch, setting up your own independent registered investment advisor (RIA) firm is a tremendous opportunity that can provide higher earning potential, freedom, flexibility, and the opportunity to build a legacy.

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Wealth Management

AUGUST 2, 2024

Interval funds are being pitched to registered investment advisors as an easy-to-sell entry into direct lending.

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Wealth Management

JULY 30, 2024

The milestone validates Captrust’s business model and growth of the registered investment advisor space.

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Wealth Management

SEPTEMBER 29, 2023

The firms, ranging from broker/dealers and dual registrants to affiliated investment advisors, include Interactive Brokers, Nuveen Securities and Baird, among others, and are similar to 2022 charges against Wall Street firms resulting in $1.1 billion in collective penalties.

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Nerd's Eye View

OCTOBER 14, 2024

Independent Registered Investment Advisors (RIAs) often face significant challenges in attracting advisors who can proactively generate new business.

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Wealth Management

MARCH 7, 2024

Cornerstone Advisors, a Baxter, Minn.-based based team with about $360 million in client assets, joins from Cetera Investment Advisors.

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Advisor Perspectives

FEBRUARY 26, 2024

In the first installment of this series, I pledged to unveil a retirement strategy with such merit that it warrants widespread adoption by the investment advisor community. Let's delve into the compelling case for this approach.

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Wealth Management

FEBRUARY 7, 2024

Much of these inflows into TLT can be attributed to a combination of ETF model providers and the registered investment advisor community.

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Advisor Perspectives

JULY 2, 2024

In this article, I will explore the key considerations for investment advisors when selling a minority interest in their firms to maximize the likelihood of success. I discuss how to choose the right investor, provide a blueprint for the process.

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Wealth Management

SEPTEMBER 14, 2023

Despite Goldman Sachs’ sale of its Personal Financial Management unit, the Wall Street firm says it’s doubling down on serving registered investment advisors. “We We don’t want to compete with RIAs. But we want to serve RIAs,” said a Goldman Sachs exec.

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Wealth Management

NOVEMBER 16, 2023

Mark Copeland, founder of Signature Estate & Investment Advisors and Ben Prigal, vice president of Reverence Capital Partners, discuss the value of partnership between private equity and RIAs.

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NAIFA Advisor Today

FEBRUARY 16, 2024

Glenn Crawford is a Certified Divorce Financial Analyst (CDFA®) and a licensed insurance agent holding a Series 65 Investment Advisor Representative distinction. His mission is to support better financial outcomes for clients by educating, enabling, and empowering them to make sound decisions about their financial well-being.

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The Big Picture

JANUARY 19, 2024

The digital investment advisor manages over $40 billion in assets for 800,000 clients. All of our earlier podcasts on your favorite pod hosts can be found here. Be sure to check out our Masters in Business next week with Sarah Kirshbaum Levy , CEO, Betterment.

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Advisor Perspectives

MAY 14, 2024

With the challenges associated with organic growth, many registered investment advisors (RIAs) are turning to external mergers or acquisitions to expand their practices.

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A Wealth of Common Sense

SEPTEMBER 1, 2023

Rob Isbitts at ETF.com says Jerome Powell’s speech at Jackson Hole is bad news for 60/40 investors: For nearly two decades, investment advisors and self-directed investors came to understand and appreciate “asset allocation” as a complementary combination of stocks and bonds.

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Wealth Management

JANUARY 11, 2023

Charles Richard Burgess will go to prison for more than six years for fleecing investors of more than $4 million, while pretending to be a registered investment advisor.

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