The Reformed Broker

NOVEMBER 25, 2022

Especially if we’re referring to the past performance of a particular investment strategy, portfolio manager, mutual fund or individual stock. Past performance is not a guarantee of future results. Of course it isn’t. Things change. But past performance of asset classes should be well understood.

Portfolio Management 258

Portfolio Management Portfolio Assets Management 258

Wealth Management

MARCH 27, 2024

The wirehouse claims that Zak Gardezy resigned from the firm and began soliciting former clients originally referred from Morgan Stanley’s E*Trade division.

Clients 108

Clients 108

Nerd's Eye View

APRIL 17, 2023

Which is why many advisors seek to leverage client referrals, where their clients refer family members, friends, or colleagues to the advisor. At the same time, asking clients to make referrals (and having the referred individual actually reach out to the advisor) can be challenging.

Financial Planning 209

Financial Planning Clients Planning Marketing 209

Nerd's Eye View

FEBRUARY 1, 2023

Financial advisors who pay third parties to solicit or refer prospective clients to generate new business have historically been subject to the SEC’s Cash Solicitation Rule.

Compliance 173

Compliance Advertising Marketing Marketing 173

Pragmatic Capitalism

SEPTEMBER 19, 2022

While the media has traditionally referred to a recession as 2 quarters of negative GDP the White [ … ] New episode of Three Minute Money here. Is the USA in a recession?

Media 176

Media 176

Investment Writing

MARCH 4, 2024

The lower ranking on the fog index, the easier the reading… The seven factors include: Average sentence length in words Percentage of simple sentences Percentage of strong verb forms Proportion of familiar words Proportion of abstract words Percentage of personal references Percentage of long words Why do the other factors matter?

Commission 96

Commission Numbers Investing Investments 96

Calculated Risk

DECEMBER 1, 2023

With the end of the UAW and SAG-AFTRA strikes, 41,300 strikers returned to work for the November reference period. Note: The reference period usually contains the 12th of the month, however there are exceptions, and the reference period for November 2023 was the 5th through the 11th.

76

76

Pragmatic Capitalism

AUGUST 2, 2022

While the media has traditionally referred to a recession as 2 quarters of negative GDP the White [ … ]. New episode of Three Minute Money here. Is the USA in a recession?

Media 148

Media 148

NAIFA Advisor Today

AUGUST 8, 2023

Elderly refers solely to years lived on the planet, while ‘elder’ refers to what we do with those years” – Chip Conley, Author of Wisdom@Work and Co-Founder of The Modern Elder Academy What is a Modern Elder? The Modern Elder Academy describes modern elders as people in midlife (45–65) or older who are as curious as they are wise.

Financial Advisor 98

Financial Advisor 98

oXYGen Financial

APRIL 21, 2024

![CDATA[ "Shrinkflation" has once again become a topic of widespread discussion, particularly since its reference in the latest State of the Union address. You're probably familiar with the strategy by now: manufacturers reduce the size or quantity of a product while maintaining its price.

Manufacturing 52

Manufacturing 52

Nerd's Eye View

JUNE 13, 2023

We also talk about how Danika’s former career in corporate finance at a number of tech startups inspired her to work with women in tech, as she realized that she understood the financial issues they faced and by being specifically niche-focused, she could create more repeatable processes and it would be easier to scale the business over time, (..)

Financial Advisor 245

Financial Advisor Clients Startup Financial Planning 245

eMoney Advisor

FEBRUARY 23, 2023

If you build a relationship with them, they may refer people who are in a transitionary period to you. If you already have clients in common, there’s a good chance that there are already opportunities for you both to refer clients to each other. HR representatives and consultants are often in-the-know when these events happen.

Financial Planner 118

Financial Planner Recruitment Clients Financial Advisor 118

Nerd's Eye View

MARCH 18, 2024

Soliciting prospect referrals can often be an effective way for financial advisors to grow their firms with clients who are ready to act and who will benefit from the firm since many referrals come from sources that are familiar not just with the advisor and the services they offer, but also with the prospect being referred and the needs they seek.

Assets 238

Assets Media Financial Advisor Professional Services 238

The Big Picture

AUGUST 10, 2023

There are numerous ways to measure price increases, and I wanted to highlight a specific approach the BLS occasionally references: “The 16% trimmed-mean CPI.” As I have noted before, the entity primarily responsible for rising home prices higher is the Fed.

Distribution 241

Distribution Food 241

Calculated Risk

APRIL 4, 2024

. • Unemployment Claims: The weekly claims report showed a larger number of initial unemployment claims during the reference week from 202,000 in February to 212,000 in March. COVID: As far as the pandemic, the number of patients hospitalized during the reference week in March was around 10,000, down from 17,000 in February.

Manufacturing 76

Manufacturing Numbers Economy 76

Advisor Perspectives

APRIL 6, 2024

I’m referring to those indicators that don’t get a lot - if any - attention from the television channels geared toward finance and markets and yet can provide important insights. Many of us have our favorite economic and financial indicators.

Marketing 52

Marketing Marketing Economics 52

Advisor Perspectives

APRIL 5, 2024

I’m referring to those indicators that don’t get a lot - if any - attention from the television channels geared toward finance and markets and yet can provide important insights. Many of us have our favorite economic and financial indicators.

Marketing 52

Marketing Marketing Economics 52

Mish Talk

DECEMBER 11, 2022

Binance's Proof of Reserves Statement When we say Proof of Reserves, we are specifically referring to those assets that we hold in custody for users. During the interview, Mr. Hillmann also at times referred to the work performed by Mazars as an “audit.” "CZ" Image likeness courtesy of Coin Telegraph article below.

Assets 362

Assets Accounting Clients Economics 362

NAIFA Advisor Today

APRIL 22, 2024

With millions of Americans engaged in the care of loved ones, Golden reveals the economic and emotional challenges that persist in what she refers to as the "shadow" caregiving economy.

Financial Planning 52

Financial Planning Economics Planning Economy 52

The Big Picture

JUNE 30, 2023

Consider these gains in light of yesterday’s discussion about belief systems and thought processes , Only this time, instead of referring to anti-vaxxers and insurrectionists, think about all you heard from the fund managers, economists, strategists, and assorted pundits who freely opined on where this market was going to go in 2023.

Numbers 319

Numbers Investing Investments Management 319

Steve Sanduski

APRIL 9, 2024

“Training” your existing clients to refer friends and family to you. Using your “My Why Story” to connect with new clients and make yourself more referable. .” How to execute an “email handshake.” ” The most common reasons people decide to start looking for an advisor.

Clients 59

Clients Marketing Marketing Management 59

oXYGen Financial

JUNE 18, 2023

Financial repression refers to policies implemented by governments and central banks. ]] In this simple description, we'll explore the intricacies of financial repression, its historical context, causes, and impact on individuals and investments. Let's demystify this topic together.

Government 105

Government Banking Investing Investments 105

Advisor Perspectives

OCTOBER 10, 2023

When the media speaks of the yield curve, they are likely referring to the Treasury yield curve. It is the point of reference for interest rate levels and investment comparison.

Media 52

Media Investing Investments 52

Investment Writing

APRIL 3, 2023

Words into Type , an older reference book, says, “The correct spelling of words with the terminations -able or -ible is often puzzling. The student of orthography can find rules for the use of these endings, but it is more practical to learn the spelling of each word and refer to the dictionary if memory fails for the moment.”

Investing 98

Investing Investments Assets Clients 98

Million Dollar Round Table (MDRT)

APRIL 14, 2024

The areas we assess our clients: Capacity and willingness to refer or introduce us to others Respect our services and make meetings a priority Use and appreciate our advice and act on it Growth capacity and a majority of assets with us Assets under management We show the clients their report card during their annual review meeting.

Clients 59

Clients Financial Advisor Assets Planning 59

Calculated Risk

MARCH 7, 2024

. • Unemployment Claims: The weekly claims report showed a larger number of initial unemployment claims during the reference week from 189,000 in January to 202,000 in February. COVID: As far as the pandemic, the number of patients hospitalized during the reference week in February was around 17,000, down from 28,000 in January.

Manufacturing 67

Manufacturing Numbers 67

Calculated Risk

FEBRUARY 1, 2024

. • Unemployment Claims: The weekly claims report showed a smaller number of initial unemployment claims during the reference week from 203,000 in December to 189,000 in January. COVID: As far as the pandemic, the number of patients hospitalized during the reference week in January was around 28,000, up from 19,000 in December.

Manufacturing 51

Manufacturing Numbers 51

Calculated Risk

OCTOBER 27, 2023

Here is the CES Strike report for October released this morning: This shows a total of 48,100 workers on strike in October, 30,400 new (mostly UAW), and no strikers that returned to work for the October reference period (contains the 12th of the month). This will reduce employment gains in October.

76

76

Nerd's Eye View

MARCH 4, 2024

Welcome to the March 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!

Startup 196

Startup Wealth Management Clients Portfolio 196

Norman Marks

OCTOBER 20, 2023

Adding to that: “Risk-based” refers to a focus on the more […] My answer is that: An effective internal audit function provides the risk-based assurance, advice, and insight[1] that leadership needs for success[2].

Government 85

Government 85

The Big Picture

SEPTEMBER 22, 2022

I don’t always reference it, but intriguing and anomalous findings are always worth sharing. Every year, Credit Suisse puts out an in-depth look at wealth around the world (I often pull a chart or two for the reads). This year is one of those times. Global wealth, in both dollar totals, and percentage gains, each hit all-time highs.

Distribution 327

Distribution Numbers Media Investing 327

oXYGen Financial

FEBRUARY 25, 2024

Money dysmorphia refers to a distorted perception of one's financial situation, often influenced by societal comparisons and unrealistic expectations. This phenomenon can lead to unhealthy. ]]

Media 52

Media 52

Calculated Risk

OCTOBER 4, 2023

Workers on strike during the reference week are not counted as employed in the BLS employment report. Every month, on the Friday before the release of the employment report, the BLS releases the CES Strike Report showing the number of workers on strike during the reference period. Note that the reference week for October is next week.

Numbers 76

Numbers 76

Nerd's Eye View

OCTOBER 20, 2023

Also in industry news this week: The latest update on the status of the Department of Labor's proposed regulation related to fiduciary advice on retirement accounts and why the agency is referring to it as a "retirement security rule" rather than a "fiduciary rule" A report suggests that RIA M&A surged in the 3rd quarter, as large acquirers resumed (..)

Financial Planner 207

Financial Planner Retirement Planning Retirement Healthcare 207

XY Planning Network

MARCH 27, 2023

And no, onboarding is not referring to boarding the plane to your next vacation adventure you certainly earned. The term onboarding refers to the full integration of a new employee into the workplace. 4 MIN READ Are you still hiring or already onboarding?

Planning 92

Planning Fee Only 92

Calculated Risk

JANUARY 4, 2024

. • Unemployment Claims: The weekly claims report showed a smaller number of initial unemployment claims during the reference week (the 3rd through the 9th in December) from 203,000 in November to 235,000 in December. This suggests fewer layoffs in December compared to November.

Manufacturing 67

Manufacturing Numbers 67

The Big Picture

DECEMBER 3, 2022

To clarify the audio — which was edited for brevity — when I mention I really like a specific Global X ETF on the show, I was referring to their themes and/or wacky ticker symbols; these are not “Buy” or “Sell” recommendations. Wind Energy WNDY. Clean Water AQWA. Disclosure: RWM does not own any of these).

Portfolio 198

Portfolio Investing Investments Assets 198