Displaying 4302 results
How to get started with automation
There's a fair amount of legwork that needs to happen to get firms to the point where automation is possible.
Tony Soprano’s guide to a secure retirement
If things are getting better on the retirement front, or at the very least not getting worse, why all the glum faces?
Can Goldman Sachs and Citigroup catch up on hiring advisors?
Both banks have recently signaled their interest in bolstering their wealth management operations, but they can't snap their fingers and conjure financial advisors from thin air.
What the SEC lawsuit against Coinbase means for advisors
Advisors will likely face more stringent compliance requirements as a result of the SEC's actions and may need to reassess their compliance programs to adequately address the unique risks associated with digital assets.
Sales is not a dirty word
If you’re a fiduciary, the better you are at subtle persuasion, the better off your clients will be.
Unlocking the secret to luring Gen Z into the advisory industry
Emotionally engaging experiences will inspire interns to continue in the financial advisory profession.
Despite all the nay-saying, 60/40 is here to stay
Although it lost nearly 16% in 2022, the 60/40 balanced portfolio has managed to deliver normal returns on average over longer time periods.
Retire and remain: Sellers seek greater flexibility in succession planning
While some advisors choose to sell their practices and retire, others wish to remain for a specific time and work for the new owners.
Last chance for Social Security claiming strategy
While the rules for claiming Social Security will get a bit simpler starting in 2024, clients will continue to need advice on the best time to claim benefits.
The ‘AUM illusion’ and organic growth
Having more people know what you can do for them rather than what they can do for you could be a route to growth that suits many advisors.
Democratization of markets doesn’t mean all investors should vote for private placements
Investor harm is occurring among so-called sophisticated investors, and strong guardrails must be put in place if access to unregistered securities becomes easier for retail investors.
Firms brace for SEC spotlight on electronic communications
Protecting investors from fraudulent, misleading or otherwise problematic electronic communications seems to be of the utmost importance to regulators.
3 best practices for avoiding a fiduciary breach
Given the many lawsuits filed against retirement plan sponsors in recent years for breaching their fiduciary duties, here are the steps plan committees should be taking to mitigate risk.
529 Day is a reminder not to play hooky saving for your kids’ education
Of all the holidays we observe, both real and faux, 529 College Savings Day is the one that counts the most, in our humble opinion.
Preparing for the future: How 529 plans have expanded in the past decade
Here's a list of the costs that have become qualified expenses for 529 plans in the past decade.
Modernize your service model, both for your next client and your succession plan
You’ll have a tough time acquiring new clients, or eventually selling your firm and retiring, if your service model is stuck back in the '90s.
The latest in financial #AdvisorTech — May 2023
This month's highlights include Betterment's $9 million settlement with SEC and whether it points to more SEC scrutiny of RIAs' tax-loss harvesting promises, as well as Altruit's latest fundraising round and GeoWealth's acquisition of First Ascent.
Retirement battle Round 3: Boomers respond, along with everyone else
The torrent of emails we received from members of all generations in response to 'Boomers bite back' was something we'd never experienced before.
How innovations in non-listed REIT redemption programs meet investor needs
The new generation of nontraded REITs has been designed with monthly or quarterly repurchase limits to align the interests of stockholders with the less liquid nature of the assets.
When fiduciary duty is at odds with what’s right for clients
It's time for the financial services industry to rethink its rules when it comes to offsetting fees.
