Displaying 60 results
Bob Oros brews up growth at Hightower
From scaling the executive ranks to the craft brewery business, CEO keeps his ‘eternal focus’ on one thing – the customer.
What’s behind financial planning renaissance?
Industry insiders explain the transformation from a time when investment selection was king to a more complicated era for clients, who want their lives to have meaning, purpose and legacy.
Future Proof plants its flag in the advisor industry event circuit
In its second year, the beachside conference attracted almost 3,000 attendees, nearly double last year’s attendance.
Draining the pool of confusion surrounding long-term care insurance
Throwing out life rafts: Advisors explain how they're addressing the knowledge gap and helping people face up to their own mortality.
Why ESG is hard to sell to many advisors
The term is used and misused to the extent that it has lost meaning — but it's not going away, and it could be a mistake to ignore it.
Planning for the possibility of cognitive decline
New research shows that mental deterioration hits some groups of retirees harder than others.
State auto-IRA programs bring red and blue together
The push for the retirement plans is winning a vote not only from state representatives but also from across the aisle.
Amid volatility, tech that proves an advisor’s value will thrive
There's new pressure on advisors to clearly demonstrate the value they deliver to clients, and technology will play a key role.
Financial industry, regulators likely to clash over rules slated for second half
The Labor Department's advice rule is likely to lead to controversy over whether a recommendation to roll funds from a 401(k) to an IRA constitutes advice.
Rising markets, rates tee up second-half margins for B-Ds
Broker-dealers are gaining the double whammy of billing higher fees based on more client assets as well as generating more revenue from higher interest rates.
Despite rising awareness of DEI issues, change is slow to occur
While underrepresented ethnicities make up about 15% of new CFPs each year, the new arrivals barely move each group’s overall presence in the profession.
Stocks can’t continue to ignore recession risk
Despite the recent surge in equities, most market watchers expect stocks to finish the year flat or down from current levels.
How advice standards have converged 3 years into Reg BI
While the SEC is working to put teeth into Regulation Best Interest, questions remain about how it’s working in practice.
RIAs are embracing compliance as a necessary evil
In an era of increasingly complex regulatory oversight and possibly the most aggressive SEC ever, breakaway RIAs are realizing that compliance is not something to be ignored.
How rising interest rates cushioned IBDs in a stormy 2022
Meanwhile, over the past decade, the top 25 firms have essentially doubled the amount of revenue they generate.
Finlit makes the grade in high schools
Financial literacy programs need stories, more than data, from financial services professionals.
Overcoming ‘policy differences’ takes work early in rulemaking process: SEC’s Peirce
The commissioner characterizes SEC Chair Gensler's agenda as seeking dramatic regulatory change over 'huge swaths of the market,' while his predecessor, Jay Clayton, was more incremental.
Covered call ETFs uncovered
The age-old strategy, neatly wrapped in the low-cost convenience of an exchange-traded fund, has gained fresh momentum in the volatile market environment.
With recession looming, advisors prepare for the worst
Clients are being advised to build up their cash positions, reduce equity risk and load up on high-quality fixed income.
Bad apps + Bad actors = Bad news for advisors
Two types of worrisome trends emerge in the app landscape that financial advisors must watch out for.
