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Ask the Ethicist: Help the CFP Board improve its revised standards

December 27, 2017

On Dec. 20, the CFP Board released the second draft of its proposed revisions to the Standards of Professional Conduct. The first draft was released during the summer with a 60-day comment period. This latest version is open to comment from...

Your tax bill questions answered

December 27, 2017

InvestmentNews has asked readers to submit their tax questions. Here are the first three of them. If you would like your tax questions answered, please write to assistant managing editor Chris Latham at QUESTION:...

William Galvin fines Securities America over radio ads

December 27, 2017

Massachusetts' securities regulator has fined Securities America $125,000 in connection with failure to supervise one of its agents whose radio advertising campaign allegedly used the dangers of Alzheimer's disease to gain access to seniors'...

Avoid these bond-buying pitfalls

December 22, 2017

Nearly every day, I see municipal bonds trading on various platforms at higher prices than I've been watching them trade elsewhere. And what bothers me most is that I know that behind those trades are real people for whom the stakes of making...

Five obstacles to true tax optimization

December 22, 2017

As we approach year end, tax considerations bubble up to the top of the portfolio management agenda for advisers. As they weigh tax benefit claims made by competing managers, the cynicism and confusion around the claims made is real. There are...

Female clients have gone from niche to the new normal

December 21, 2017

The numbers tell a compelling but contradictory story. Women are 51% of the population and are outpacing men in both workforce participation and college graduation rates, according to U.S. Census data. Moreover, they are at the precipice of...

It's almost 2018 — what's your marketing plan?

December 20, 2017

The year is almost over. That means it's time to write your annual marketing plan. (You do have a plan, right? I hope you aren't spending your marketing budget without one!) Let's face it. Most of the time, an annual planning meeting is kind...

How the tax bill will affect 8 families

December 20, 2017

If you're confused by how the Republican tax bill will affect your clients, you're not alone. The final version rewrites the tax code in dozens of ways, eliminating deductions, changing rates, and creating brand-new benefits for certain taxpayers,...

Ten years after the crisis, investors need advisers more than ever

December 20, 2017

Hartford Funds recently conducted a survey to uncover how investors were affected immediately after the financial crisis and how financial behaviors have changed in the years following, including now, a decade later. The resulting data suggests...

Women in Advice

December 20, 2017

The following is an excerpt from the report, “Women in Advice: Inspiring the Next Generation of Financial Advisers”

For brokers, tax bill could bring shakeups and job changes

December 15, 2017

Some brokerage firms are concerned that the tax overhaul could lead to upheaval, pushing their employees to set up their own shops or switch firms to lower their tax bills. At the heart of the issue is how the business is organized. Some brokers...

Three keys to succession planning

December 15, 2017

The advisory profession is a noble one, wherein participants are entrusted with the important responsibility of helping clients to accumulate wealth, plan for the future and retire comfortably. However, the industry is at an inflection point....

The case for active engagement

December 14, 2017

We have become so used to thinking about indexes, ETFs and beating the market that we have turned shares into financial commodities. They have become building blocks with which we can synthesise ever more exotic instruments, but it has reached...

RIAs struggle to keep clients grounded amid stock market euphoria

December 14, 2017

The stock market run, which has been charging largely unabated for nearly nine years and entered a second stage of out-performance after last year's presidential election, is creating new headaches for some financial advisers. Whether it is...

David Bach wants to turn RIAs into 'local celebrities'

December 13, 2017

Can aggressive marketing be the foundation of a financial advisory firm's growth strategy? David Bach believes it can, and he's marketing his own firm to prove it. Mr. Bach, co-founder of AE Wealth Management, thinks too many smaller advisory...

New adviser credential hones accumulation skills

December 12, 2017

There is no question that the wealth management industry is changing. The question for financial advisers is how do they differentiate themselves in a post-fiduciary environment with robo-advisers nipping at their heels? Perhaps it's time to...

Is the Trump effect over?

December 12, 2017

It's perhaps inevitable that 10½ months into Donald J. Trump's presidency we would pause to consider whether the Trump Effect has begun to wane. As Trump's first year in office enters its final stretch, advisers should be prepared to answer...

Capitalism is beautiful. Young prospects might disagree

December 11, 2017

Capitalism is one of the greatest things that ever happened to America. This isn't just an idle thought for me. It's why we at Stephens launched the ongoing This Is Capitalism multimedia experience two years ago. Yet many Americans, including...

Fi360 upgrades adviser fee-benchmarking tool

December 11, 2017

Fi360, which provides education and technology to help advisers comply with fiduciary rules, is upgrading a tool that retirement plan advisers can use to prove they charge clients a "reasonable" fee. The Fee Benchmarker product draws on a proprietary...

Richard Thaler talks about the formation of his RIA ... and winning the Nobel Prize

December 8, 2017

Richard H. Thaler, who earned a PhD from the University of Rochester, will be given the Nobel Prize in Economics on Sunday for integrating economics and psychology. He is a professor of behavioral science and economics at the University of Chicago...

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