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Direct indexing gains appeal as taxable losses mount
Technology platforms evolve quickly to give financial advisers tools to help clients mitigate the tax hit as financial markets decline.
Promises of student debt forgiveness put advisers in uncharted territory
The moving target of potential debt forgiveness, coupled with an extended payment moratorium, has advisers reading the political tea leaves for direction.
High-yield funds get ESG treatment
Several US fund managers are taking an interest in this small but growing area of the market.
Fee revenue surged at the largest IBDs last year
For more than two decades, the brokerage industry has touted its plans to shift to a fee-based business model, which is less volatile than the up-and-down cycles of sales of high-commission products.
Asset management firm tussles with founder over use of track record
A dispute between James Barksdale and EIC, which provides separate account strategies, could have wider implications for how advisers tout their track records.
The most seasoned advisers show no signs of slowing down — or retiring
A passion for the work drives some financial advisers to stay on the job well past traditional retirement age.
Has the SEC reached peak politicization?
The SEC's growing political rift reflects Washington's widening partisanship and threatens to diminish the agency's stature.
Two years later, financial services firms still searching for balance on remote work
Some of the biggest brands in wealth management are trying to figure out what normal looks like, and how and whether it makes sense to bring employees back to the office.
Advisers flock to RIAs in the new normal
The RIA channel saw a net gain of 1,530 financial advisers in 2021, while the wirehouses had a net loss of 2,065.
Brokerages want remote office inspections to be part of new normal
Firms say technological advances allow them to oversee reps no matter where they work. A compliance expert cautions that the best evidence of malfeasance is found on site.
Retiring in an age of uncertainty
Both new and existing retirees face the challenge of generating steady income in the low-interest-rate environment, which calls into question the traditional 60/40 investment strategy.
Messaging apps take on Wall Street
The latest apps like WhatsApp and emailing platforms like Gmail are beginning to play an oversized role in adviser communications, a trend that could increase as more clients choose to communicate via their smartphones.
The future of the 401(k) lies with small businesses
The number of small businesses is growing, in some part due to unhappy workers leaving jobs to set up shop on their own. That has led to more startup 401(k) plans.
Why Envestnet is enticing advisers to dive into its massive data lake
The TAMP doubled down on its vision to aggregate the 2 petabytes of consumer spending data it collects — roughly equivalent to 1 trillion pages of printed text or 40 million filing cabinets.
CI Financial’s US expansion is a Canadian success story
The Toronto-based company's business operations in the United States represent the largest and fastest-growing segment of the $304 billion financial conglomerate.
What inflation could mean for annuities
Many people are likely wondering how heightened inflation will affect their retirement goals, including the role of insurance products they already own or are considering.
ESG investing is about to get a lot easier
Both the Labor Department and the SEC are working on proposals whose thrust is to encourage the use of ESG factors, an abrupt reversal of Trump administration policy.
Digital calendars can be an adviser’s best tech tool
Firms are using apps like Calendly to save time and make scheduling more convenient for clients.
Five pitfalls to avoid in creating a brand
To be most effective in your new-business efforts, your brand should project a firm that is experienced, confident, polished and secure.
INDUSTRY LAYOFFS LIKELY A `90S HIGH: DESPITE THE BOOM, MANY OUT ON STREET
Stewart Ragar's future seemed boundless when he landed a job back in 1994 as Daiwa Securities' Latin American equity analyst.
