Displaying 274 results
A marketing conundrum
Hitting the sweet spot between taking advantage of new marketing opportunities and staying in compliance with the SEC marketing rule will be a big challenge for advisers.
TAMPs race to build comprehensive wealth management platforms
After years of consolidation, the platforms that solve the puzzle could win future advisers and their assets. The ones that don’t may find themselves acquired.
Original 40 Under 40 winners shift lanes but stay the course
InvestmentNews revisits the first two classes of 40 Under 40 winners.
So your RIA has gone mega. Is it time to go public?
The wave of IPOs among mega RIAs has been building for years, but some in the industry wonder how many firms can weather the challenges of being a public company.
Alts are rockin’ the house!
Demand for income, inflation protection, enhanced returns and volatility dampening has created a ‘Goldilocks moment’ for alternative investments.
Can your DC plan take a punch?
Record inflation and 401(k) statement shock could send some retirement plans down for the count.
Response to inflation is likely to dominate economic policies
While higher interest rates are the go-to move to temper inflation, the efforts to restrict money supply also introduce the risk of a recession.
Agenda-driven SEC determined to prevail despite critics’ pushback
The latest iteration of Chairman Gary Gensler's agenda contains 53 pending proposals. The financial industry is nervous.
SECURE 2.0 occupies rare common ground, tees up progress
The House approved the retirement-industry boosting SECURE Act 2.0 in a landslide, setting the stage for a Senate vote in the back half of 2022.
Champions, critics drive ESG debate, disclosures
Investors have more power on ESG issues than ever, but regulation is becoming a hot-button issue.
Are tools smart enough for tough times? Market volatility to test advisers’ tech
Adviser fintech promised to make firms more efficient and build deeper client relationships. Those claims may soon be tested.
Escalating economic drama dampens appetite for adviser moves
Financial adviser moves are up 3.8% year over year through the first five months of the year but down when compared to their most recent high in 2019.
Wirehouses ditched recruiting years ago, but hit records in 2021. What changed?
Ten years ago, hiring financial advisers at wirehouses had a hammer and tongs feel. Today, hiring and hanging on to advisers are much more nuanced endeavors.
New diversity tools arriving just in time to win the war for talent
Amid the healthy growth in jobs, more resources are becoming available to help employers recruit women and minorities.
Reg BI turns 2, but not everyone is celebrating
Over the years, some have become convinced Reg BI is a significant step up from brokers’ previous suitability standard. Others remain skeptical that it’s tough enough to curb broker conflicts.
Advisers who ignore ESG do so at their own r-i-s-k
As interest in ESG investing grows, advisers are reaching an inflection point.
Into the metaverse
Financial services firms are hanging out their shingles in the burgeoning world of virtual societies, hoping to attract a new breed of digitally native customers.
Diversity, Equity & Inclusion 2022 Lifetime Achievement Winner: Eddie C. Brown
As Brown Capital Management has grown, founder Eddie Brown has also seen his appreciation for being able to 'pay it forward' grow as well.
Keeping the sandwich generation on track for retirement
Many middle-aged Americans are bringing up their children while caring for aging parents, and placing their own retirement needs on the back burner.
A taxing situation
Last year’s attempt to raise taxes on the wealthy has catalyzed conversations between advisers and clients about tax strategies this season.
