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Wirehouses feeling the chill of autumn in the air
The giant firms face an approaching winter as they become less prominent in the overall advisory business.
Tax insights your CPA never told you
Here are three tax insights you can pass on to your clients when you've exhausted all the customary ones.
A different kind of financial literacy
An advisor’s plain-language explanation of financial system intricacies can help allay fears, keep emotions under control and inform better decision-making.
Advisors already know SVB’s lesson
The truth — which long-time advisors know all too well — is that prudent risk management is rarely a crowd-pleaser before a crisis hits.
The undiminished lure of RIA firms
Registered investment advisory firms provide a service that customers understand, demand and are willing to pay a good price for, in good times and bad.
The ’secret’ of advisor job security
As long as wealth management firms can continue to attract and retain knowledgeable and empathetic individuals, financial advisors should always have a job.
Whose clients are they, anyway?
Perhaps the reality is that neither firms nor advisors truly 'own' clients but rather are lessees of clients.
Questioning the SEC’s outsourcing proposal
For advisors who don’t do their homework, the possibility of a regulatory slap on the wrist may be less of a deterrent than a whack in the wallet from aggressive attorneys.
Two cheers for the SECURE 2.0 Act
Digesting everything in the new law will take some time as financial advisors will have plenty of interpreting and educating to do.
Had a bad year? It could’ve been worse
2022 was marked by soaring inflation and a sinking stock market, but it had some redeeming features, including the fact that increasingly fee-based revenues make it easier for advisory firms to weather such storms.
As FTX burns, advisers keep their cool
Given advisers' questioning of the practical merits of cryptocurrency, it's no wonder so many encouraged their clients to steer clear of crypto as an investment.
5 things advisers should be thankful for in 2022
When someone needs guidance for the future, nothing beats a live financial adviser, and advisers should be grateful the public recognizes that.
What women clients want
A recent study suggests the wealth management industry left $14 billion of potential revenue on the table last year by failing to tailor its products and services to women.
Independent advisers are not gig workers
Let’s hope that by skillful lobbying, thoughtful consideration or through sheer dumb luck, financial advisers can stay independent.
The ‘best’ way to pay for advice
An adviser who’s honest and transparent about compensation, regardless of the model, is bound to engender the trust that advice seekers want most of all.
A time for difficult conversations
It may be time for advisers to talk to clients about reducing spending and either continuing or returning to work.
Tax ‘advice’ more important than ever
Advisers who help business-owner clients steer clear of possible tax traps in coming years will be performing a service unlikely to be forgotten.
New regulations for the new reality
Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.
Are your clients on the wrong glide path?
If a target-date fund is among a client's investments, an adviser can check the fund’s glide path as well as the equity percentage of the portfolio.
The message is compliance
The substantial fines hitting big banks for failing to meet messaging-retention requirements shows the need for direction from the top to ensure the use of monitoring systems.
