Compliance Marketing Practice Management 
Nerd's Eye View
FEBRUARY 17, 2025
In order to deliver the best service to their clients, financial advisors often take on responsibilities beyond giving financial advice, including compliance, marketing, team management, and other operational duties.
Nerd's Eye View
JANUARY 3, 2025
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with a recent survey indicating that a majority of advisors are viewing new client acquisition as their primary challenge in the current competitive environment for financial advice (followed by compliance and technology management) and suggests (..)
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Nerd's Eye View
MARCH 14, 2025
Which, if implemented under the new administration, could provide relief for investment advisers, particularly smaller firms that already have to balance compliance with client service, marketing, and the other duties that go into running a firm.
Nerd's Eye View
AUGUST 8, 2025
The report suggests that while many firms have streamlined operations and experienced tailwinds from strong equity markets the past couple years, bringing on new clients has been a challenge for some (highlighting that fast-growing firms tend to allocate larger shares of their budgets to marketing, expenditures which could crimp profitability in the (..)
Nerd's Eye View
SEPTEMBER 13, 2024
Enjoy the current installment of "Weekend Reading For Financial Planners" - this week's edition kicks off with the news that the SEC this week fined 4 RIAs for violations of its marketing rule related to their claims that they offered 'conflict-free' financial advice.
E78 Partners
APRIL 10, 2023
In today’s rapidly evolving dental industry, practice owners and Dental Service Organizations (DSOs) face numerous challenges in managing patient care, ensuring compliance, and maintaining profitability. In addition, DSOs can efficiently manage and organize the vast amounts of data generated across multiple locations.
Nerd's Eye View
FEBRUARY 17, 2023
Further, an investment adviser who can make trades on behalf of a client would be deemed to have custody of the client’s assets, which could substantively shift a very sizable portion of the wealth management RIA community under the custody rule, though it remains to be seen whether or what exact custody rule compliance requirements would be (..)
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