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Hello, I must be going
Advisors and clients will see a flurry of coveted tax breaks come and go in the next three years. Here’s how to keep track.
Schwab’s game plan for a TD touchdown
Perfection is impossible for a data migration of this magnitude, but Schwab’s leadership is ready to tackle any technical hiccups on the field.
All eyes on alts
As fixed income weighs down the classic 60/40 portfolio, allocations to alternatives are expected to rise over the next three years.
Is the new generation of nontraded REITs really any better than the last?
Wall Street has revitalized the product, but these REITs face new scrutiny because of an old problem: Investors are demanding liquidity.
Expect giant branch offices at IBDs to flex their muscle
There are plenty of private equity managers left who could still invest in large branch offices of independent broker-dealers.
Finding potential upside in markets and the economy
Market watchers take the long view in forecasting the year ahead because the immediate future looks dicey.
Gary Gensler’s SEC agenda faces steep GOP opposition
The GOP barely controls the House, but it's enough to allow the party to pressure the SEC chief to curb his agenda.
Growth or flexibility? Fintechs must choose
Fintechs may find themselves mimicking some of the same strategies advisors use to demonstrate the value they bring to clients during difficult markets.
Here’s how inflation and philanthropy could give women a boost in ’23
Philanthropic goals are prompting women to become more involved in family asset management.
Handicapping sequence risk and recession for the retirement set
There will be a lot of recession chatter in the coming year and financial advisors had better be prepared for it.
The ESG rule, the SEC and sustainability
If SEC Chairman Gary Gensler can engage with potential opponents while keeping advocates on the SEC’s side, ESG could score more policy wins next year.
This year should have been worse for broker-dealers
One of the big themes in 2022 was how well the broad retail wealth management industry has insulated itself from the downside of the bust part of the cycle.
ESG got caught between party lines
The year saw major developments in legislation and regulation that affect sustainable investing, including proposals from the SEC and a long-awaited final rule from the Department of Labor.
Was 2022 the best year ever for exchange-traded funds?
From asset flows out of mutual funds and into ETFs, to mutual fund-to-ETF conversions and the emergence of single-stock ETFs, the liquid, low-cost, tax-efficient ETF wrapper has notched a lot of wins this year.
Fintech challenged by market forces
While most adviser-facing fintechs were spared the pain felt across the wider technology landscape, not everyone escaped the year unscathed.
Ta-ta, TINA! The year in retirement investing
One thing every investor, and especially retirees, could plainly see was that they were making money for practically nothing each month or quarter for the first time in ages.
Diversity imperatives snapped into focus
Accountability for fulfilling vows of diversity and inclusion has been scarce, but a spate of new scholarship and outreach programs signaled progress.
Don’t give up on charitable giving just yet
A bear market and inflationary pressures may have many Americans feeling less wealthy lately, but not necessarily less generous.
What’s behind the phenomenon of advisers behaving badly?
Greed alone doesn’t explain the appalling acts some advisers commit against their clients.
High stakes in midterm elections
There’s a lot more than control of the House and Senate on the ballot in November, especially for Gary Gensler and the SEC.
