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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Investment Advisor Investing Investments Assets 52

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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Financial Planner Investment Advisor Certified Financial Planner Investing 40

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.

Investment Advisor 101

Investment Advisor Investing Investments Portfolio 101

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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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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Investment Advisor Investing Investments Certified Financial Planner 52

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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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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Investment Advisor Investing Investments Fee Only 97

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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Investment Advisor Investing Investments Assets 103

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 Investment Advisor Management Investing 107

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

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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Investment Advisor Investing Investments Assets 98

Wealth Management

AUGUST 19, 2022

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

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Investment Advisor Wealth Management Banking Investing 97

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

MARCH 8, 2023

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

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Investment Advisor Investing Investments 57

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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Compliance Financial Planner Financial Advice Investment Advisor 229

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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Retirement Planning Retirement Investment Advisor Planning 61

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

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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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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Communication Investment Advisor Investing Investments 132

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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Investment Advisor Investing Investments 101

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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Retirement Insurance Investment Advisor Investing 98

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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Investment Advisor Investing Investments 99

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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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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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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License Wealth Management Investment Advisor Consulting 105

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

APRIL 26, 2024

In the competitive landscape of the investment advisory industry, retaining top talent is essential for the long-term success and growth of investment advisory firms. To incentivize and reward key employees, investment advisors often turn to equity compensation tools.

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Wealth Management

MARCH 29, 2023

The Department of Justice also charged Surage Roshan Perera of wire fraud, investment advisor fraud and money laundering, for allegedly defrauding an unnamed investor.

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Assets Investment Advisor Clients Investing 101

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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Advisor Perspectives

JULY 16, 2024

Since carriers are still digesting and figuring out how they want to cover DA, investment advisors should focus on working with a broker who understands this space. What was true six months ago, can easily be different now and in further down the road.

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Insurance Assets Investing Investments 52

Nerd's Eye View

JULY 23, 2024

Welcome back to the 395th episode of the Financial Advisor Success Podcast ! Dustin is the Director of Investment Advisor Services of PPC LOAN, a firm based in The Woodlands, Texas that facilitates conventional bank loans to financial advisors. My guest on today's podcast is Dustin Mangone.

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Banking Financial Advisor Planning Valuation 130

International College of Financial Planning

JULY 10, 2023

How Investment Advisors Play a Significant Role in Managing Finances? The field of investment advisory presents a world of opportunities for individuals passionate about finance and investments. Their primary objective is to help clients make informed investment decisions, manage risks, and achieve financial objectives.

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Abnormal Returns

JANUARY 26, 2023

bloomberg.com) NEA is becoming a registered investment advisor. (wsj.com) Startups Stripe is set to go public in the next twelve months. wsj.com) Startups are pulling out all the stops to avoid down-rounds. axios.com) The downside of using special purpose vehicles.

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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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International College of Financial Planning

MAY 9, 2024

In the present rapidly evolving digital landscape, integration of technology into everyday activities has transformed numerous industries, i8 financial management and investment advisory services. This integration has revolutionized investment advisors’ operations, enhancing their ability to manage portfolios and interact with clients.

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Investing Investments Investment Advisor Budgeting 52

Wealth Management

AUGUST 2, 2022

Beachwood, Ohio–based RIAs MGO Investment Advisors and One Seven have merged, with Merchant Investment Management taking a minority stake in the new entity.

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Wealth Management

AUGUST 10, 2022

Lee Weiss previously pleaded guilty to investment advisor fraud related to a Ponzi-like scheme involving his firm Family Endowment Partners.

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Investment Advisor Investing Investments 101