Nerd's Eye View

DECEMBER 25, 2023

Each week in Weekend Reading For Financial Planners, we seek to bring you synopses and commentaries on 12 articles covering news for financial advisors including topics covering technical planning, practice management, advisor marketing, career development, and more.

Practice Management 98

Practice Management Tax Planning Planning Securities 98

Nerd's Eye View

JANUARY 6, 2023

From there, we have several articles on retirement planning: Why an individual’s portfolio of relationships could be just as important as their investment portfolio when it comes to happiness in retirement. How planning specializations can help firms and their advisors stand out from the pack.

Practice Management 98

Practice Management Auditing Planning Investments 98

Nerd's Eye View

FEBRUARY 2, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that a Morningstar survey has found that financial advisory clients are more likely to stick with their advisor for emotional reasons rather than investment returns alone.

Practice Management 98

Practice Management Education Compliance Investments 98

Nerd's Eye View

FEBRUARY 10, 2023

Also in industry news this week: The SEC this week released its 2023 examination priorities, which include its new marketing rule, Reg BI, and complicated investments The House of Representatives is considering legislation that would broaden the definition of who qualifies as an accredited investor and is potentially eyeing a role for financial advisors (..)

Practice Management 98

Practice Management Investments Numbers Planning 98

Nerd's Eye View

DECEMBER 2, 2022

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with a research study suggesting that the market volatility experienced in 2022 could increase demand for financial planning services.

Practice Management 96

Practice Management Planning Securities Numbers 96

PYMNTS

APRIL 19, 2019

A new report has revealed that investments in digital health startups fell 19 percent in the first quarter of 2019. billion invested one year ago. Favorable market conditions have prompted several companies to announce IPO plans,” said CEO Raj Prabhu of Mercom Capital Group.

Investments 49

Investments Healthcare Practice Management Startups 49

Nerd's Eye View

MARCH 3, 2023

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that amid economic and market headwinds, the pace of RIA M&A activity was slower in January and February compared to the same period last year.

Practice Management 96

Practice Management Leverage Economics Securities 96

Nerd's Eye View

SEPTEMBER 9, 2022

More states are adopting continuing education requirements for investment advisers, with three states establishing rules that must be followed by the end of 2022. From there, we have several articles on practice management: A new company aims to train the next generation of planners and provide a valuable outsourced service to advisory firms.

Practice Management 98

Practice Management Education Planning Securities 98

Nerd's Eye View

JULY 15, 2022

Net Investment Income Tax to high-income-owners’ S corporation profits as part of broader legislation, but this measure appears to be on shaky ground. Why investors prefer advisor marketing that asks questions about prospects and avoids industry jargon.

Practice Management 98

Practice Management Leadership Numbers Marketing 98

Nerd's Eye View

MAY 12, 2023

The study also highlighted the importance of advisors taking the time to build trust with clients and to understand a client’s goals and needs, as this can not only differentiate an advisor from those providing purely transactional investment advice, but also could promote client retention, even in years of poor market performance.

Tax Planning 98

Tax Planning Practice Management Valuation Investments 98

Nerd's Eye View

OCTOBER 28, 2022

Enjoy the current installment of “Weekend Reading For Financial Planners” - this week’s edition kicks off with the news that the SEC has proposed a rule that would require RIAs to conduct enhanced due diligence and recordkeeping when using certain outsourced investment management services and other third-party service providers.

Practice Management 98

Practice Management Valuation Economics Numbers 98

Nerd's Eye View

MARCH 8, 2024

Read More.

Practice Management 98

Practice Management Risk Management Communication Leverage 98

Nerd's Eye View

SEPTEMBER 6, 2024

Enjoy the current installment of "Weekend Reading For Financial Planners" – this week's edition kicks off with the news that the Treasury Department has finalized rules requiring most SEC-registered RIAs to implement risk-based Anti-Money Laundering and Countering the Financing of Terrorism programs, including a requirement to report suspicious (..)

Treasury 98

Treasury Tax Planning Practice Management Compliance 98

PYMNTS

SEPTEMBER 27, 2020

Lightyear intends to work toward acquiring software and payments companies, which the release calls “a highly fragmented market” that has a large number of smaller providers. According to the press release, the addressable market for payments solutions is around $1.4 billion for the legal vertical alone.

Practice Management 64

Practice Management B2B Invoicing Accounting Firms 64

Nerd's Eye View

NOVEMBER 6, 2023

And be certain to read to the end, where we have provided an update to our popular "Financial AdvisorTech Solutions Map" (and also added the changes to our AdvisorTech Directory) as well!

Valuation 98

Valuation Compliance Practice Management Technology 98

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. Rarely do they enter the field to be in a sales or marketing role.

Strategic Planning 98

Strategic Planning Sales Planning Budgeting 98

CFO News Room

DECEMBER 3, 2022

Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with a research study suggesting that the market volatility experienced in 2022 could increase demand for financial planning services. Why wrap fee programs appear to be in the crosshairs as the SEC begins to enforce Reg BI.

Communication 130

Communication Investments Planning Marketing 130

CFO News Room

DECEMBER 12, 2022

Financial advisors have had to navigate many challenges in 2022, from an inflationary environment, the likes of which we have not experienced in decades, to weak stock and bond market performance. At the beginning of 2022, the first Investment Adviser Representative (IAR) annual CE requirements took effect.

Education 130

Education Planning Investments Profit and Loss 130

Nerd's Eye View

JULY 10, 2023

Gary Siperstein, Jason's father, had built a successful investment management firm exclusively focused on managing portfolios of small-cap value stocks. Jason's next move was to shift the firm away from pure investment management by incorporating comprehensive financial planning for his clients.

Planning 98

Planning Advertising Investments Marketing 98

Nerd's Eye View

NOVEMBER 28, 2022

Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors. Read More.

Advertising 98

Advertising Planning Investments Practice Management 98

Nerd's Eye View

NOVEMBER 28, 2022

Traditionally, investment planning has been at the forefront of how financial advisors add value for their clients. But, with the rise of index funds and the commoditization of investment advice, generating sufficient investment ‘alpha’ to justify a fee has become more challenging for advisors. Read More.

Advertising 98

Advertising Planning Investments Practice Management 98

CFO News Room

NOVEMBER 14, 2022

She is the co-founder and President of Journey Strategic Wealth, a Registered Investment Adviser built for advisors seeking independence and full-fledged practice management support. She currently runs a weekly YouTube series called “Practice Management with Penny.”. birthdays, anniversaries, and achievements).

Practice Management 130

Practice Management Planning Leadership Communication 130

PYMNTS

OCTOBER 1, 2020

Founded in 2000, Lightyear is a financial services-focused private-equity firm based in New York, which focuses on middle-market companies in North America associated with financial services. The news came against a backdrop where other announcements and activities have illuminated the attractiveness of B2B FinTech as an investment space.

B2B 56

B2B Invoicing Practice Management Reconciliations 56

Nerd's Eye View

APRIL 19, 2023

When an RIA reaches the threshold of $100 million in Regulatory Assets Under Management (RAUM), it must generally switch from being registered at the state level to registering with the SEC. But while $100 million may be the general rule, in practice it isn’t always a hard line.

Investments 97

Investments Practice Management Marketing Planning 97

Nerd's Eye View

MAY 8, 2023

investment reviews in the summer, retirement projection updates in the fall, and year-end tax planning in the winter) created enough efficiency through systematizing the ongoing financial planning process that allowed him to fit in tax preparation without reducing any of his other service offerings! Read More.

Tax Planning 98

Tax Planning Planning Investments Practice Management 98

Nerd's Eye View

JANUARY 22, 2024

Identifying these principal elements before delving into the client's situational details of their finances can help the advicer address the issues truly of concern to the client.

Prioritization 98

Prioritization Risk Management Communication Planning 98

CFO News Room

DECEMBER 10, 2022

From there, we have several articles on practice management: Why creating a defined employee value proposition could be the key for RIAs to attract and retain talent in the current tight labor market. Gregg Greenberg | InvestmentNews).

Mergers and Acquisitions (M&A) 130

Mergers and Acquisitions (M&A) Planning Valuation Accounting 130

PYMNTS

JUNE 26, 2020

But as difficult a time as it’s been, it’s not utterly devoid of good news or silver linings, Amol Helekar , principal at investment firm TCV , told Karen Webster during the latest This Week In Payments conversation. Helekar noted that he’s seen similar actions at a smaller scale across the range of technology platforms his firm invests in.

eCommerce 70

eCommerce Practice Management Economics Technology 70

Nerd's Eye View

JUNE 19, 2023

The necessity of fee increases entails a certain amount of pain for monthly-fee advisors since each conversation around raising fees creates the possibility of pushback from clients that could put a strain on the client-advisor relationship.

Communication 98

Communication Planning Practice Management Numbers 98

Regent Assay

OCTOBER 27, 2022

Bright is a UK and Ireland-based accounting, practice management and payroll software provider. The investment in BTCSoftware further demonstrates?Bright’s The Regent Assay team fully understood the dynamics of the business and we were able to implement their key recommendations prior to our going out to market.

Practice Management 52

Practice Management Compliance Accounting Accounting Firms 52

Nerd's Eye View

FEBRUARY 14, 2023

What's unique about Jim, though, is how he has built an RIA platform approaching $25B in AUM in just 5 years, and the way he’s managed everything from hiring and staffing to raising outside investor capital in order to make the investments necessary to achieve scale as a middle and back-office support platform for independent advisors.

Benchmarking 52

Benchmarking Compliance Practice Management Leverage 52

PYMNTS

JUNE 19, 2018

million fundraising led by Blackbird Ventures, and with the funds, the company said it plans to take advantage of market disruption caused by the Australian Competition and Consumer Commission ‘s (ACCC) blocking of the MYOB/Reckon deal. Karbon announced a $5.19 million.

Accounting 40

Accounting Startups Practice Management Planning 40

E78 Partners

SEPTEMBER 10, 2024

A high Patient Retention Rate often correlates with increased patient satisfaction, improved clinical outcomes, and more patient referrals, contributing to organic growth without significant additional marketing costs.

Financial Planning and Analysis (FP&A) 52

Financial Planning and Analysis (FP&A) Healthcare Benchmarking Practice Management 52

PYMNTS

APRIL 19, 2017

According to Sage’s survey, more than half (57 percent) of accountants say their companies invest in technology, including the cloud, and two-thirds said they have adopted a cloud-based practice management solution. Change can often divide the crowd,” reflected Sage EVP Product Marketing Jennifer Warawa in a statement.

Accounting 47

Accounting Cash Management Practice Management Technology 47

CFO News Room

NOVEMBER 29, 2022

What’s unique about Anh, though, is how, as a solo advisor, she differentiates her firm by leveraging the combination of a high-touch concierge approach to client service with a unique investment management approach through the use of very carefully chosen structured notes to differentiate her portfolio design from other advisors.

Leverage 130

Leverage Planning Concentration Tax Planning 130

CFO News Room

DECEMBER 27, 2022

directly via email: Resources Featured In This Episode: Looking for sample client service calendars, marketing plans, and more? I know you’re going to gasp, Michael, with the amount of clients that we have, but we have approximately 1,800 clients managing just north of [$]400 million*, between the 400 and 450.

Mergers and Acquisitions (M&A) 130

Mergers and Acquisitions (M&A) Planning Marketing Securities 130

E78 Partners

SEPTEMBER 10, 2024

A high Patient Retention Rate often correlates with increased patient satisfaction, improved clinical outcomes, and more patient referrals, contributing to organic growth without significant additional marketing costs.

Financial Planning and Analysis (FP&A) 40

Financial Planning and Analysis (FP&A) Healthcare Benchmarking Practice Management 40