Three Things To Know About Last Week

“There are decades where nothing happens; and there are weeks where decades happen.” Vladimir Lenin   Last week was Carson’s Excell conference down in Orlando and it was a ton of fun, but a little exhausting as well. I’m glad it is over, but looking back it was such a fun and productive week for …

A Summer Swoon in Trendy Tech

Returns in the stock prices of technology companies have cooled as of late, marking a sharp change from the experience of the previous year. Performance to date in the third quarter of 2024 is listed below for the so called ‘Magnificent 7,’ and the data show a significant slowdown compared to recent history. An equal …

Andres Mazabel: How to Start the Estate Planning Conversation with Your Clients

Are you leveraging estate planning to strengthen your client relationships and grow your financial advisory practice? Learn how estate planning can deepen your client relationships and propel your advisory practice to new heights. In this episode, Ana Trujillo Limón, Director, Editorial, speaks with Andres Mazabel, Head of Advisor Sales at Trust & Will, about the …

Business Management

Andres Mazabel: How to Start the Estate Planning Conversation with Your Clients

Are you leveraging estate planning to strengthen your client relationships and grow your financial advisory practice? Learn how estate planning can deepen your client relationships and propel your advisory practice to new heights. In this episode, Ana Trujillo Limón, Director, Editorial, speaks with Andres Mazabel, Head of Advisor Sales at Trust & Will, about the …

ReFrame | Dr. Lisa Toppin

Join Ana Trujillo Limon as she interviews Dr. Lisa Toppin, Carson’s VP of Workforce and Market Expansion. The two will talk about Lisa’s impressive background in the industry and what brought her to Carson. Topics of Discussion: Quick overview of Lisa’s background and journey to Carson Dive into what her role is here at Carson …

ReFrame | Yan Zhao

Join us live from Excell as we interview Yan Zhao, the co-founder and president of Stone Ridge. We’ll talk about Yan’s journey to becoming a successful entrepreneur, her advice to women in the industry, and her proudest accomplishments. We’ll also dive into what’s new at Stone Ridge. Topics of Discussion: Discuss Yan’s career journey: she …

100 Tasks Every Advisor Should Delegate

100 Tasks Every Advisor Should Delegate

Find out what tasks you can hand off to free up your time and empower your team.

Marketing

Tamsen Butler: Crafting Compelling Stories

Creating content can seem daunting, even for industry experts like yourself. But whether you’re preparing for a speaking event, writing a blog post, or recording your first podcast episode, what you have to share matters more than how you deliver it. In this episode, Ana Trujillo Limón, Director, Coaching and Advisor Content, speaks with Tamsen …

Minna Shada: Consumer Marketing for Advisors

Are you looking to learn about effective consumer marketing in the financial industry? Today, we look behind the scenes with Ana Trujillo Limón, Director, Coaching and Advisor Content, and Minna Shada, Senior Vice President of Consumer Marketing. Minna talks about her marketing journey since 2013, her pivotal role in partner office marketing, and the innovative …

Kalli Fedusenko: Financial Advisor Marketing

Elevate your financial advisory practice with strategic marketing – it’s not just about attracting new clients, but about showcasing your knowledge, amplifying your visibility, and positioning yourself as a trusted advisor, building credibility. Today on Framework, Ana Trujillo Limón, Director, Coaching and Advisor Content, and Odaro Aisueni, Wealth Planner, ring in the new year with …

The Financial Advisor's Guide to Effective Marketing

The Financial Advisor's Guide to Effective Marketing

Effective advisor marketing in the digital age requires a strategy that fits your firm.

Compliance

Understanding the SEC Marketing Rule for Financial Advisors

In late 2020, the SEC announced that it had finalized changes to its Marketing Rule for financial advisors. The amendments create a single rule that replaces the pre-existing advertising and cash solicitation rules. The rule’s broadly drawn limitations and principles-based provisions are designed to accommodate the continual change in technology and ever-expanding ways in which …

Staying on Top of SEC Marketing Rule Changes

Changes to the Securities and Exchange Commission’s “Marketing Rule” recently went into effect, and they impact everything from testimonials to the definition of an “advertisement.”  Staying in compliance with these rule changes can be challenging for advisors, but our on-demand webinar “Staying on Top of SEC Marketing Rule Changes” can help you stay on track.  …

How SECURE 2.0 Act Shifts the Retirement Planning Landscape

The SECURE Act brought big changes to retirement planning when it was signed into law in 2019. Now, its sequel – dubbed SECURE 2.0 Act – has just passed as part of the 2023 budget. Though SECURE 2.0 Act’s changes to the retirement landscape aren’t quite as sweeping as the original, there’s still plenty advisors …

Staying on Top of SEC Marketing Rule Changes

Staying on Top of SEC Marketing Rule Changes

Learn how to stay in compliance with SEC rules when using client testimonials and reviews.

Technology

Peter Lazaroff: Embracing Artificial Intelligence

Artificial intelligence is revolutionizing financial advisory. How will AI impact investors’ portfolios?   This week on Framework, Ana Trujillo Limón, Director, Coaching and Advisor Content, and Odaro Aisueni, Wealth Planner, speak with Peter Lazaroff, Chief Investment Officer at Plancorp, LLC, about the impact of AI on financial planning, and the importance of diversification in investment portfolios.    …

Power Your Technology and Enhance the Client Experience with Data

Thanks to rapidly advancing technology, financial advisors have access to more data than ever before. But trying to sift through that data and actually use it to enhance your business and client experience can be a challenge.  How can you be sure you’re measuring the right metrics, or interpreting the data correctly? How can you …

Our Favorite Financial Advisor Tools to Add to Your Tech Stack

 As financial advisors grow their businesses, their operational needs can drastically change, along with the need to provide competitive services. That’s where financial advisor technology comes in. The best financial advisor tools will enhance your processes, save you time and money and foster connections with clients about their specific goals. Today’s technology offerings can …

Building a Top-of-the-Line Tech Stack

Building a Top-of-the-Line Tech Stack

An accessible, user-friendly tech stack is crucial to delivering the best client experience.

Investments

Three Things To Know About Last Week

“There are decades where nothing happens; and there are weeks where decades happen.” Vladimir Lenin   Last week was Carson’s Excell conference down in Orlando and it was a ton of fun, but a little exhausting as well. I’m glad it is over, but looking back it was such a fun and productive week for …

A Summer Swoon in Trendy Tech

Returns in the stock prices of technology companies have cooled as of late, marking a sharp change from the experience of the previous year. Performance to date in the third quarter of 2024 is listed below for the so called ‘Magnificent 7,’ and the data show a significant slowdown compared to recent history. An equal …

The Potential Impact of a Big Rate Cut (It’s Not Scary!)

Last week I argued that the Federal Reserve (Fed) needs to “go big” sooner rather than later by starting their rate cut cycle in September with a 0.5%-point cut. Labor market risks are rising, and the August payroll data wasn’t really comforting from that standpoint. At the same time, the latest inflation data showed that …

Midyear Outlook 2024: Eyes on the Prize

Midyear Outlook 2024: Eyes on the Prize

The economy is off to a strong start in 2024, with a strong employment picture and the Dow Jones Industrial Average crossing 40,000 for the first time. Will it stay that way?

Financial Planning

Empowering Women in Wealth Management with Dr. Julie Ragatz

This week on Framework, we address how sponsorship and inclusion can empower women in wealth management. In this episode, Ana Trujillo Limón, Director, Coaching and Advisor Content, and co-host JaQ Campbell, Founder and CEO of Alexander Legacy Private Wealth Management, speak with Julie Ragatz, Ph.D., Vice President, Next Gen and Advisor Development Programs at Carson …

Breaking Barriers in Finance with Sheryl Hickerson

Today on Framework, we explore pathways for women in finance, mentorship, and the strength of having allies.  In this episode, Ana Trujillo Limón, Director, Coaching and Advisor Content, and guest co-host, JaQ Campbell, Founder and CEO of Alexander Legacy Private Wealth Management, speak with Sheryl Hickerson, Founder and Chief Engagement Officer at Females and Finance …

Debra Taylor, CPA/PFS™️, JD, CDFA®️: Navigating Women’s Financial Challenges

With studies showing that women often leave advisors if not feeling connected, wealth managers must understand the importance of building relationships with female clients. Tune in to the Framework Podcast episode featuring Debra Taylor, where we explore how intentional connections with women can lead to better client retention and satisfaction.  In this episode, Ana Trujillo …

How SECURE 2.0 Act Shifts the Retirement Planning Landscape

How SECURE 2.0 Act Shifts the Retirement Planning Landscape

Stay on top of the shifting retirement planning picture.

M&A

Know Your Worth | Nate Fisher

We will walk through the different stages of the M&A process to help educate potential sellers along the way. Last month we talked with Ted Motheral from Potomac Law Group to discuss the Legal aspect of the transition process. This week we are coming to you live from Excell to speak with Nate Fisher to …

Know Your Worth | Ted Motheral

Ted Motheral, Partner, Potomac Law Group, joins Carson’s Michael Belluomini, VP, Mergers & Acquisitions, and Jeff Harris, AVP, Mergers & Acquisitions, as they dive into the legal side of the transition process.   Topics of Discussion:  Why to hire an M&A attorney instead of a family attorney.  The importance of personal goodwill.  What sellers should expect …

Know Your Worth | Jacqueline Martinez

Jacqueline Martinez, Managing Partner at Alaris Acquisitions, joins Carson’s Michael Belluomini, VP, Mergers & Acquisitions, and Jeff Harris, AVP, Mergers & Acquisitions, as they dive into the transition process that takes place after an M&A deal. Topics of Discussion: How do you narrow the universe of potential buyers for a seller? Talk a bit about …

The Essentials of Succession Planning for Financial Advisors

The Essentials of Succession Planning for Financial Advisors

Learn how to choose a successor and find the true value of your firm.

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