Management and Planning - Financial Advisor Source

Takeaways From Day 1 of Wealth Management EDGE

Wealth Management

JUNE 10, 2025

Podcasts & Videos CE Webinars Research Newsletters Subscribe Subscribe News Related Topics RIA IBD Wirehouse RPA Insights & Analysis Regulation & Compliance Career Moves Recent in News See all Wealth Management EDGE 2025 Industry News & Trends Scenes From Day 1 of Wealth Management EDGE 2025 Scenes From Day 1 of Wealth Management EDGE (..)

Wealth Management

Wealth Management Management Estate Planning Business Planning

A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny

Nerd's Eye View

DECEMBER 18, 2024

While state and Federal regulations clearly outline recordkeeping requirements for areas like financials, advertisements, and trading records, there is a notable gap when it comes to documenting the delivery of services – especially financial planning services – necessary to justify the fees charged for those services.

Financial Planning

Financial Planning Planning Compliance Advertising

A 3-Step Sales Process To Clearly Demonstrate Financial Planning Value To Prospects

Nerd's Eye View

NOVEMBER 25, 2024

Over the past decade, a growing number of advisors have expanded into offering comprehensive financial planning services, reflecting a shift that not only helps them stand out from (increasingly commoditized) portfolio management offerings but also supports clients' broader financial goals.

Financial Planning

Financial Planning Sales Planning Retirement

Webinars

How To Overcome Change Fatigue In Finance With Neuroscience-Backed Strategies

Protect What Matters: Rethinking Finance Ops In A Digital World

Your Accounting Expertise Will Only Get You So Far: What Really Matters

MORE WEBINARS

A Managed Accounts Case About More Than Managed Accounts

Wealth Management

JUNE 17, 2025

sends favorable message to advisors on managed accounts in retirement plans, highlighting key distinctions. Court dismissal of Hanigan v. Bechtel Global Corp.

Accounting

Accounting Management Retirement Planning Retirement

Data Talks, CFOs Listen: Why Analytics Are Key To Better Spend Management

Speaker: Claire Grosjean, Global Finance & Operations Executive

Automation vs. Human Oversight 🤖 Why people remain a key part of spend management, and how to strike the right balance between AI-driven analytics and human financial expertise. Forecasting That Works 📈 How AI and predictive analytics can improve financial planning.

Management

Kitces & Carl Ep 154: The Limits Where Technology Can’t Scale Financial Planning Advice

Nerd's Eye View

DECEMBER 26, 2024

Just a few decades ago, giving financial advice was largely a manual process – printing lengthy financial plans, processing physical checks, and managing paper files. These conversations are often emotional and vulnerable, requiring a sense of safety built on years of trust that technology simply can't replicate.

Financial Planning

Financial Planning Planning Financial Advice Clients

Advisor Due Diligence: The Most Critical Duty of a 401(k) Plan Sponsor

Wealth Management

MAY 27, 2025

Plan sponsors increasingly rely on third-party advisors for 401(k) and 403(b) management, with 88% using independent advisors for fiduciary oversight.

Planning

Planning Management

Scenes from Day 2 of Wealth Management EDGE

Wealth Management

JUNE 11, 2025

WealthManagement.com Staff June 11, 2025 28 Slides START SLIDESHOW Wealth Management EDGE game show The second day of Wealth Management EDGE on Wednesday included a series of firsts.

Wealth Management

Wealth Management Management Financial Advisor Business Planning

Holistiplan Launches Estate Plan Document Extraction Tool (And More Of The Latest In Financial #AdvisorTech – November 2024)

Nerd's Eye View

NOVEMBER 4, 2024

Welcome to the November 2024 issue of the Latest News in Financial #AdvisorTech – where we look at the big news, announcements, and underlying trends and developments that are emerging in the world of technology solutions for financial advisors!

Estate Planning

Estate Planning Planning Communication Clients

Navigating Financial Storms: Strategies for Building Resilient Balance Sheets

Speaker: Carolina Aponte - Owner and CEO, Caja Holdings LLC

To achieve this, companies need to focus on key strategies such as maintaining adequate liquidity, managing debt levels, diversifying revenue streams, and prioritizing profitability over growth.

Financial Planning

Zephyr's Adjusted for Risk: The Role of Financial Advisors in Estate Planning

Wealth Management

MAY 27, 2025

David Handler provides insights into the essential role financial advisors play in estate planning, why it's important to have an estate plan and the importance of communication and education within families about wealth management.

Estate Planning

Estate Planning Financial Advisor Planning Wealth Management

Trends In Financial Advice Fees: What Financial Advisors Are Actually Charging For Their Services

Nerd's Eye View

JUNE 16, 2025

While many firms have historically relied on commission-based compensation methods – reflecting a sales-driven approach – financial advice has evolved with technological advancements and a greater focus on financial planning, with the Assets Under Management (AUM) fee emerging as the primary compensation model.

Financial Advice

Financial Advice Financial Advisor Financial Planning Planning

Focused on the Future: Kevin Keller on the Evolution of Advice, Capturing Next Gen Talent and AI’s Place in Planning

Wealth Management

JUNE 11, 2025

CFP Board CEO Kevin Keller discusses the shift to holistic financial planning, efforts to increase diversity in the profession and AI’s impact on financial services.

CFP

CFP Planning Financial Services Financial Planning

#FASuccess Ep 439: Scaling Financial Planning With Monday.com As A Project Management Hub In Lieu Of Wealthbox CRM, With Alvin Carlos

Nerd's Eye View

MAY 27, 2025

Alvin is the CEO of District Capital Management, an RIA based in Washington, D.C., What's unique about Alvin, though, is how he has grown his firm by using project management software Monday.com as a central hub for financial plan presentations and efficient client task management.

Financial Planning

Financial Planning Planning Management Financial Advisor

What To Do When Gifts To Minors No Longer Fit: Adjusting UTMAs, 529 Plans, And Trusts When Family Goals Don’t Align

Nerd's Eye View

FEBRUARY 26, 2025

To achieve this, financial support may start at a very young age, allowing for a longer growth horizon and, in many cases, serving tax and estate planning purposes. However, once a child reaches the age of majority, they may not always be in a position to manage assets responsibly. Read More.

Estate Planning

Estate Planning Planning Distribution Assets

Social Security Fairness Act: Planning Considerations For The Repeal Of The Windfall Elimination Provision (WEP) And Government Pension Offset (GPO)

Nerd's Eye View

JANUARY 15, 2025

However, the WEP and GPO proved unpopular and difficult to manage in practice. This lack of clarity made retirement planning significantly more challenging. The key point is that while the WEP and GPO only affected a certain subset of retirees and spouses, these provisions made planning more complex for those impacted.

Government

Government Retirement Planning Planning Retirement

What Are the Best Asset Classes for Active Management?

Wealth Management

JUNE 12, 2025

What Are the Best Asset Classes for Active Management? Low-cost passive wrappers work well for core equity investing, but certain asset classes are more conducive to active management. The industry’s heyday came in the 1980s and ’90s, when stocks soared and rockstar mutual fund managers like Peter Lynch raked in assets.

Assets

Assets Management Wealth Management Risk Management

How Advisors Can Build (and Lose) Trust with 401(k) Plan Sponsors

Wealth Management

JUNE 16, 2025

Explore how 401(k) plan advisors can build trust with clients through transparency, consistency, and independent due diligence in the face of potential conflicts.

Planning

Planning Clients

#FASuccess Ep 418: Developing The “Middle” Management Layer To Scale Up Team Leadership Capacity For $3B Of AUM, With Stacey McKinnon

Nerd's Eye View

DECEMBER 31, 2024

Stacey is the chief operating officer of Morton Wealth, an RIA based in Calabasas, California, that oversees approximately $3 billion in assets under management for 1,300 client households.

Management

Management Financial Advisor Clients Numbers

Thrivent Plans to Hire 600 Financial Advisors This Year

Wealth Management

MAY 21, 2025

Minneapolis-based Thrivent aims to expand its advisor workforce by 600 in 2025, addressing industry trends of an aging workforce and demand for purpose-driven advice.

Financial Advisor

Financial Advisor Planning

The Data on Active Large Cap Underperformance

The Big Picture

MAY 29, 2025

RWM works with clients by constructing a long-term financial plan, marrying it to an appropriate level of risk in a broadly diversified portfolio built around a core index, and then applying the best technology we can find to generate net after-tax returns with modest risk and volatility.

Portfolio

Portfolio Financial Planning Taxes Assets

Tap Into Your Clients’ Interest in Charitable Planning

Wealth Management

JUNE 9, 2025

Financial advisors should prioritize charitable giving discussions to meet growing client interest and strengthen relationships with younger generations.

Charitable Planning

Charitable Planning Clients Planning Financial Advisor

Retirement Plan Business Offers a Pathway to Private Wealth

Wealth Management

JUNE 17, 2025

RIAs can create a potential client stream if they commit to a 401(k) channel that includes participant education and touchpoints, said panelists at Wealth Management EDGE last week.

Retirement Planning

Retirement Planning Retirement Wealth Management Planning

Estate Planning Services Are Becoming Table Stakes

Wealth Management

NOVEMBER 19, 2024

Clients increasingly view estate planning as a core element of holistic wealth management, not just a one-time task, according to a survey from online estate planning platform Vanilla.

Estate Planning

Estate Planning Planning Wealth Management Clients

Optimizing The Planning Process To Address Challenges For Clients Who Are 1 Year Away From Retirement

Nerd's Eye View

APRIL 21, 2025

When onboarding new clients, financial advisors often use a three-meeting cadence: a Discovery Meeting to gather information, a Presentation Meeting to discuss the plan, and an Implementation Meeting to finalize it. while also setting the tone for a long-term planning relationship built on trust and deeper client engagement.

Retirement

Retirement Clients Planning Estate Planning

Optimizing The Planning Process To Address Challenges For Clients Who Are One Year Away From Retirement

Nerd's Eye View

APRIL 21, 2025

When onboarding new clients, financial advisors often use a three-meeting cadence: a Discovery Meeting to gather information, a Presentation Meeting to discuss the plan, and an Implementation Meeting to finalize it. while also setting the tone for a long-term planning relationship built on trust and deeper client engagement.

Retirement

Retirement Clients Planning Estate Planning

Estate Planning Offerings are Becoming Table Stakes

Wealth Management

NOVEMBER 19, 2024

Clients increasingly view estate planning as a core element of holistic wealth management, not just a one-time task, according to a survey from online estate planning platform Vanilla.

Estate Planning

Estate Planning Planning Wealth Management Clients

Zephyr's Adjusted for Risk: Building a Self-Sustaining Financial Advisory Practice

Wealth Management

JUNE 6, 2025

Jason Smith, the founder and CEO of Prosperity Capital Advisors and JL Smith Holistic Wealth Management shares insights in creating a self-sustaining, scalable financial advisory practice, emphasizing the importance of a documented financial planning process, building an ensemble practice and the cultural and operational shifts required to sustain (..)

Wealth Management

Wealth Management Financial Planning Planning Management

Expatriation, Taxes and Estate Planning

Wealth Management

MAY 19, 2025

Decoding covered gifts and bequests under the final regulations.

Estate Planning

Estate Planning Taxes Planning

From New-Hire To Confident Advisor: Structuring A First-Year Associate Advisor Onboarding Plan To Develop Technical And Client Skills

Nerd's Eye View

MARCH 24, 2025

For smaller firms – especially those with little to no experience onboarding new advisors – creating a well-paced financial plan can feel daunting. However, a structured and flexible onboarding plan not only helps an associate advisor ramp up efficiently but also ensures a smooth transition into an autonomous and fulfilling role!

Planning

Planning Clients Financial Planning Communication

#FASuccess Ep 412: 3X’ing The Business With No More Than 50 Great Clients By Hyperfocusing On Who You Can Add The Most Value For, With Anjali Jariwala

Nerd's Eye View

NOVEMBER 19, 2024

Anjali is the Founder of FIT Advisors, an RIA based in Torrance, California (but works virtually with clients nationwide) and oversees $65 million in assets under management for 45 client households. My guest on today's podcast is Anjali Jariwala. Read More.

Clients

Clients Financial Advisor Business Planning Taxes

22 Top Financial Advisor Podcasts To Listen To In 2025

Nerd's Eye View

JANUARY 20, 2025

There is no shortage of written content available for financial advisors to enhance their technical skills, grow in their careers, and run more successful planning practices, from books to research studies to long-form written content. The podcasts are organized by category (e.g.,

Financial Advisor

Financial Advisor Financial Advice Financial Planner Estate Planning

#FASuccess Ep 420: Making Financial Planning More Repeatable Without Losing The Customization Where Clients Prioritize What Matters Most, With Michelle Underwood Gass

Nerd's Eye View

JANUARY 14, 2025

Michelle is the Founding Principal of Paradigm Advisors, an RIA based in Dallas, Texas, that oversees approximately $110 million in assets under management for 80 client households.

Financial Planning

Financial Planning Clients Planning Financial Advisor

Former Allianz Exec Launches Advanced Planning Firm

Wealth Management

MARCH 12, 2025

Heather Kellys Mosaic Advanced Planning is a platform to help advisors integrate risk management and insurance into their practices.

Planning

Planning Risk Management Insurance Management

Adviser links: bad timing

Abnormal Returns

JUNE 16, 2025

Podcasts Michael Batnick talks with Tim White and Danny Lohrfink of Wealth.com about trends estate planning. riabiz.com) How Robinhood ($HOOD) plans to send leads to TradePMR. wsj.com) Practice management There is a big difference between being an adviser an running an advisory business.

Estate Planning

Estate Planning Compliance Engineering Retirement

How Outsourcing Marketing Can Unlock Growth Potential For Advisory Firms: Key Steps For Choosing The Right Provider

Nerd's Eye View

NOVEMBER 11, 2024

To sustain firm growth, financial advisors often face a dilemma: to focus on what originally drew them to the profession – like financial planning – they often must first do an extensive amount of business development. Even those who do have an interest in marketing may find it challenging to dedicate the time to do it well.

Marketing

Marketing Marketing Communication Engineering

#FASuccess Ep 413: Building An Internal Advisor Training Program To Solve The Talent Pipeline As A Growing $4B Advisory Firm, With Kevin Leahy

Nerd's Eye View

NOVEMBER 26, 2024

Kevin is the CEO of Connecticut Wealth Management, an RIA based in Farmington, Connecticut, that oversees approximately $4 billion in assets under management for 1,100 client households. Welcome to the 413th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Kevin Leahy.

Wealth Management

Wealth Management Financial Advisor Clients Planning

Bluespring Merges Two Texas-Based Firms to Create $1.4B RIA

Wealth Management

JUNE 10, 2025

RIA Bluespring Merges Two Texas-Based Firms to Create $1.4B RIA SilverStar Wealth moves from being a Kestra-affiliated firm to being part of Bluespring’s Texas-based LifeBridge Financial Group. RIA Bluespring Merges Two Texas-Based Firms to Create $1.4B RIA Bluespring Merges Two Texas-Based Firms to Create $1.4B

Wealth Management

Wealth Management Engineering Estate Planning Management

Weekend Reading For Financial Planners (June 7–8)

Nerd's Eye View

JUNE 6, 2025

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that a recent report finds that the number of SEC-registered RIAs, the assets that they manage, and the number of clients they serve all increased between 2023 and 2024 and suggests the industry is robust across the size spectrum, (..)

Financial Planner

Financial Planner Retirement Retirement Planning Clients

#FASuccess Ep 414: Narrowing Down The Focus To Byte-Sized Planning For Tech Employees To 10X To $50M AUM In Just 3 Years, With Eric Franklin

Nerd's Eye View

DECEMBER 3, 2024

Eric is the Managing Partner of Prospero Wealth, an RIA based in Seattle, Washington, that oversees $52 million in assets under management for 80 client households. Welcome to the 414th episode of the Financial Advisor Success Podcast ! My guest on today's podcast is Eric Franklin.

Planning

Planning Financial Planning Financial Advisor Clients

#FASuccess Ep 426: Rolling Out An Equity Compensation Plan To Align The Entire Team On Client Service And Profitable Growth, With Jennifer des Groseilliers

Nerd's Eye View

FEBRUARY 25, 2025

Jennifer is the CEO of The Mather Group, an RIA based in Chicago, Illinois, that oversees $15 billion in combined assets under management and advisement for approximately 4,400 client households.

Compensation Planning

Compensation Planning Clients Planning Wealth Advisor

#FASuccess Ep 425: Implementing A Financial Planning Quality Control System To Improve Both Client Outcomes And Referrals, With Sebastian Guerra

Nerd's Eye View

FEBRUARY 18, 2025

Sebastian is the President of Guerra Wealth Advisors, a hybrid advisory firm based in Miami, Florida, with nearly $15M of revenue and almost 60 team members, supporting over 1,700 client households.

Financial Planning

Financial Planning Clients Planning Wealth Advisor

Mariner Hires M&A Lead Rob Sandrew to Oversee $40B Independent Channel

Wealth Management

JUNE 17, 2025

Now, he will seek to bring advisors onto Mariner’s 1099 affiliation platform for growth opportunities and succession planning. AUM from UBS In addition to Sandrew, Mariner also named Verne Marble to the role of managing director of Mariner Independent. Related: RBC Attracts Three Advisors Totaling $1.1B

Wealth Management

Wealth Management Estate Planning Compliance Management

#FASuccess Ep 432: Crafting “Input Deliverables” That Show Financial Planning Value To Clients Without Creating Busy-Work, With Seth Scott

Nerd's Eye View

APRIL 8, 2025

Seth is the founder of Heartwood Financial Planning, an advisory firm affiliated with PlanMember Securities Corporation that is based in Fresno, California, and oversees approximately $100 million in assets under management for 850 client households. My guest on today's podcast is Seth Scott.

Financial Planning

Financial Planning Clients Planning Financial Advisor

Takeaways From Day 1 of Wealth Management EDGE

A Recordkeeping Checklist For Financial Planning Services: Proactive Documentation Of Service Delivery To Reduce Regulatory Scrutiny

Webinars

Trending Sources

A 3-Step Sales Process To Clearly Demonstrate Financial Planning Value To Prospects

Webinars

A Managed Accounts Case About More Than Managed Accounts

Data Talks, CFOs Listen: Why Analytics Are Key To Better Spend Management

Kitces & Carl Ep 154: The Limits Where Technology Can’t Scale Financial Planning Advice

Advisor Due Diligence: The Most Critical Duty of a 401(k) Plan Sponsor

Scenes from Day 2 of Wealth Management EDGE

Holistiplan Launches Estate Plan Document Extraction Tool (And More Of The Latest In Financial #AdvisorTech – November 2024)

Navigating Financial Storms: Strategies for Building Resilient Balance Sheets

Zephyr's Adjusted for Risk: The Role of Financial Advisors in Estate Planning

Trends In Financial Advice Fees: What Financial Advisors Are Actually Charging For Their Services

Focused on the Future: Kevin Keller on the Evolution of Advice, Capturing Next Gen Talent and AI’s Place in Planning

#FASuccess Ep 439: Scaling Financial Planning With Monday.com As A Project Management Hub In Lieu Of Wealthbox CRM, With Alvin Carlos

What To Do When Gifts To Minors No Longer Fit: Adjusting UTMAs, 529 Plans, And Trusts When Family Goals Don’t Align

Social Security Fairness Act: Planning Considerations For The Repeal Of The Windfall Elimination Provision (WEP) And Government Pension Offset (GPO)

What Are the Best Asset Classes for Active Management?

How Advisors Can Build (and Lose) Trust with 401(k) Plan Sponsors

#FASuccess Ep 418: Developing The “Middle” Management Layer To Scale Up Team Leadership Capacity For $3B Of AUM, With Stacey McKinnon

Thrivent Plans to Hire 600 Financial Advisors This Year

The Data on Active Large Cap Underperformance

Tap Into Your Clients’ Interest in Charitable Planning

Retirement Plan Business Offers a Pathway to Private Wealth

Estate Planning Services Are Becoming Table Stakes

Optimizing The Planning Process To Address Challenges For Clients Who Are 1 Year Away From Retirement

Optimizing The Planning Process To Address Challenges For Clients Who Are One Year Away From Retirement

Estate Planning Offerings are Becoming Table Stakes

Zephyr's Adjusted for Risk: Building a Self-Sustaining Financial Advisory Practice

Expatriation, Taxes and Estate Planning

From New-Hire To Confident Advisor: Structuring A First-Year Associate Advisor Onboarding Plan To Develop Technical And Client Skills

#FASuccess Ep 412: 3X’ing The Business With No More Than 50 Great Clients By Hyperfocusing On Who You Can Add The Most Value For, With Anjali Jariwala

22 Top Financial Advisor Podcasts To Listen To In 2025

#FASuccess Ep 420: Making Financial Planning More Repeatable Without Losing The Customization Where Clients Prioritize What Matters Most, With Michelle Underwood Gass

Former Allianz Exec Launches Advanced Planning Firm

Adviser links: bad timing

How Outsourcing Marketing Can Unlock Growth Potential For Advisory Firms: Key Steps For Choosing The Right Provider

#FASuccess Ep 413: Building An Internal Advisor Training Program To Solve The Talent Pipeline As A Growing $4B Advisory Firm, With Kevin Leahy

Bluespring Merges Two Texas-Based Firms to Create $1.4B RIA

Weekend Reading For Financial Planners (June 7–8)

#FASuccess Ep 414: Narrowing Down The Focus To Byte-Sized Planning For Tech Employees To 10X To $50M AUM In Just 3 Years, With Eric Franklin

#FASuccess Ep 426: Rolling Out An Equity Compensation Plan To Align The Entire Team On Client Service And Profitable Growth, With Jennifer des Groseilliers

#FASuccess Ep 425: Implementing A Financial Planning Quality Control System To Improve Both Client Outcomes And Referrals, With Sebastian Guerra

Mariner Hires M&A Lead Rob Sandrew to Oversee $40B Independent Channel

#FASuccess Ep 432: Crafting “Input Deliverables” That Show Financial Planning Value To Clients Without Creating Busy-Work, With Seth Scott

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