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Harvey and Irma — Reminders that advisory firms need solid continuity plans

September 9, 2017

According to one​ version of Murphy's law, nature always finds the hidden flaw. No doubt Hurricane Harvey uncovered the hidden flaws in the emergency plans of many companies, including financial advice firms, in the Houston and Beaumont areas...

Advisory firms have to stop treating all advisers the same

September 8, 2017

Financial advisory firms that want to nurture the best and brightest advisers need to stop treating everyone at the firm the same way, according to Philip Palaveev, chief executive of The Ensemble Practice. Acknowledging that his advice strayed...

Help clients make a swift evacuation from Hurricane Irma with this checklist

September 7, 2017

Planning ahead for an unexpected storm or fire can help protect your clients' personal and financial well-being. Consider these recommendations for sharing with clients to help them protect important documents and make a swift, safe evacuation....

Bob Veres predicts new investment model that could give advisers edge over competition

September 7, 2017

In the future, advisers will subscribe to communities of asset managers for investment strategies that they will use to make decisions about client portfolios, according to Bob Veres, who delivered the keynote address at the Insider's Forum...

5 things you must avoid doing on social media

September 7, 2017

Once upon a time (2006), in a land far, far away (California), there lived the man who sent the world's first tweet. "just setting up my twittr," wrote Jack Dorsey, one of Twitter's founders. A lot has changed since then. Twittr is called Twitter....

Advisers in Florida brace for Hurricane Irma's wrath

September 6, 2017

Financial advisers in Florida are gearing up for Hurricane Irma as the storm — one of the most powerful ever recorded in the Atlantic — bears down on the region. "We're in full-contingency, emergency-plan mode here," said Richard Steinberg,...

Ask the Ethicist: How can advisers best disclose conflicts of interest related to compensation?

September 5, 2017

Q: I provide financial planning and investments as a dually-registered person with an insurance company. I offer financial planning advice as an investment adviser representative of the insurance company affiliated registered investment adviser....

Should financial advisers invest in social media?

September 5, 2017

Recently, a tenured adviser called me with a dilemma. His younger counterparts wanted him to purchase a social media system that would integrate blogs, posts, tweets and pictures on various platforms (e.g., Facebook, Twitter, LinkedIn and Instagram)....

Make sure your culture is compelling and built on core values

September 5, 2017

Workplace culture. It's a topic that has quickly become a hot-button issue for small businesses and large corporations alike. So much so, it has become one of those over-used and sometimes loathed buzzwords littering modern-day business discourse....

BLIND SPOT: Expectations, Emotions, and Investor Behavior

September 5, 2017

The following is from IMCA's “Inside the Mind of the Client, Part 1” article compilation. Dig into behavioral finance in part 1 of this series of articles and discover how to help your clients make good investing decisions—and avoid the...

America's jobs engine keeps defying forecasts for 2017 slowdown

August 31, 2017

In an economy growing at a moderate pace at best, the U.S. job market keeps on shining. Payroll gains topped forecasts in five of the past seven months, putting the 2017 average increase of 184,000 almost on par with last year's 187,000 and...

In pictures: Harvey wreaks havoc across Texas

August 28, 2017

One way or another, the damage inflicted by Tropical Storm Harvey is likely to be felt for a very long time. It roared ashore Friday in Texas as a Category 4 hurricane, but by Sunday flooding had taken over as the main threat from the strongest...

Harvey tests whether advisers need more emergency planning

August 28, 2017

Hurricane Harvey will be a noble test of whether financial advice firms need stiffer emergency planning rules. The Securities and Exchange Commission proposed a rule in June 2016 that would require registered investment advisers to not only...

Financial advisers in Harvey's path ride out the Texas storm

August 28, 2017

Financial advisers and their clients are weathering Tropical Storm Harvey in classic Texas style: by hunkering down and helping each other as much as possible. "A lot of people are checking in to see how other people are doing, but nobody is...

Your clients just won the lottery. Now what?

August 25, 2017

For Mavis Wanczyk, winner of the $758 million Powerball jackpot, investing her new cash will be the easy part. Keeping it from taxes, shysters and her own human nature will be the hard part. Ms. Wanczyk's after-tax winnings amount to $336 million,...

Understanding — and overcoming — your clients' behavioral biases

August 24, 2017

The following is an excerpt from a new white paper, “The road to retirement success”, which was co-developed by the InvestmentNews Content Strategy Studio and Great-West Financial®. To view download the full white paper, click here. Building...

The 7 secrets of content marketing ​

August 23, 2017

Here's something that happens to me a lot: I finally convince an adviser to try content marketing. Then I have to talk them down off the ledge once they realize the whole world will be able to read everything they publish online. That includes...

Despite misleading ads, annuities can be critical for lifetime income planning

August 23, 2017

If you're in the annuity industry, a client has probably walked into your office with preconceived notions about annuities for retirement planning, partly due to some critics' opinions on annuities that may not consider the needs of everyone....

Harnessing behavioral economics to reinvent employee education

August 22, 2017

Since the birth of the self-directed defined contribution plan, industry conferences have typically had speeches and panel discussions on how to motivate participants to make better decisions — or decisions at all. Typically, these sessions...

Active ETFs are ripe for transparent, low-cost strategies

August 22, 2017

Over the last decade, active U.S. large cap strategies with lower turnover and greater concentration have delivered solid performance, better down-market capture and higher Sharpe ratios than more diversified, higher turnover active strategies.*...

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