A global survey of nearly 12,000 Financial Planners has ranked building trust, good communication, professionalism and regulatory compliance as the 4 most important skills Financial Planners need. The Financial Planning Standards Board, which runs the Certified Financial Planner certification outside the United States, undertook its second Global Job Analysis Survey recently to assess the most important […]
Archives for September 2021
#FA Success Ep 248: Scaling Diamond Teams Profitably By Charging Separate Planning Fees, With J.D. Bruce
Welcome back to the 248th episode of the Financial Advisor Success Podcast! My guest on today’s podcast is J.D. Bruce. J.D. is the Chief of Innovation for Abacus Wealth Partners, an RIA headquartered in Santa Monica, CA that manages over $4B in assets for 1,900 clients. What’s unique about J.D., though, is how he’s been […]
CISI launches new CPD app
The Chartered Institute for Securities & Investment has launched a CPD app for its 43,000 members around the world including the UK. The app will allow members to track their Continuing Professional Development (CPD) studies on a mobile device. The professional body says CISI members in 100 countries will be able to maintain their mandatory […]
RIA Leaders 2021: What’s wrong with RIA rankings
RIA Leaders 2021: Why ranking fee-only firms is difficult
CISI backs World Financial Planning Day campaign
The CISI, professional body which runs the Certified Financial Planner (CFP) qualification in the UK, is backing World Financial Planning Day (WFPD) on 6 October. The global day will precede the UK’s own Financial Planning Week 2021 later in October, an annual event to promote Financial Planning. World Financial Planning Day is organised by the […]
CISI backs World Financial Planning Day campaign
The CISI, professional body which runs the Certified Financial Planner (CFP) qualification in the UK, is backing World Financial Planning Day (WFPD) on 6 October. The global day will precede the UK’s own Financial Planning Week 2021 later in October, an annual event to promote Financial Planning. World Financial Planning Day is organised by the […]
Client Testimonials: Leveraging The New SEC-Acceptable Marketing Practices To Connect With New And Existing Clients
Since the 1970s, the Securities and Exchange Commission (SEC) has prohibited Registered Investment Advisers (RIAs) from using client testimonials in their advertising. While their rules were intended to protect consumers by preventing advisors from showcasing only the best investment results of a few select clients, two major developments in recent years have necessitated reforms of […]
Client Testimonials: Leveraging The New SEC-Acceptable Marketing Practices To Connect With New And Existing Clients
Since the 1970s, the Securities and Exchange Commission (SEC) has prohibited Registered Investment Advisers (RIAs) from using client testimonials in their advertising. While their rules were intended to protect consumers by preventing advisors from showcasing only the best investment results of a few select clients, two major developments in recent years have necessitated reforms of […]
Weekend Reading for Financial Planners (Sept 25-26)
Enjoy the current installment of “Weekend Reading For Financial Planners” – this week’s edition kicks off with a look at the recently filed “Petitions For Rulemaking” that XY Planning Network submitted to the SEC regarding the separation of brokers and advisors, which would require brokers offering financial planning services (or delivering financial plans to their […]