3 Questions

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How to prepare for possible tax hikes

The prospect of higher taxes in the future means clients and advisers are looking at strategies that take advantage of the lower taxes available this year, said Nicole Gopoian Wirick, president of Prosperity Wealth Strategies.

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Clients are asking when taxes are going up, not if

Estate tax exemptions that sunset in 2025 require planning to efficiently pass on wealth to the next generation, said Kevin Lao, founder Imagine Financial Security.

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Factors driving hedge fund interest in ESG

Regulatory pressure and demand from investors have sparked hedge funds’ awareness of ESG, along with the chance to profit by investing in innovative companies and renewable energy, says Cliodhna Murphy of MuFG Investor Services.

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How this fund firm’s investors have never paid capital gains distributions

Controlling taxes is the top move investors can take, said Joe Huber, founder and CEO of Huber Capital Management, which has $400 million under management.

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Women most interested in social and environmental factors of ESG

Business ethics is one area that both male and female investors want to support with their ESG investment allocations, said Kent McClanahan, RBC's vice president for responsible investing.

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Grayscale Bitcoin shares will convert to ETF when approved and fees will fall

Digital currency firm will file to convert GBTC to exchange-traded fund as soon as the SEC seems supportive, said Rayhaneh Sharif-Askary of Grayscale Investments.

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Searching for growth-oriented advisers

Goldman Sachs is growing its Personal Financial Management unit via acquisitions, and Joe Duran, PFM's CEO, notes that acquired firms can benefit from the referrals PFM provides, as well as its infrastructure and systems.

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Robinhood shows up on recruiting radar

Online brokerage Robinhood has ramped up its recruiting of financial advisers, IN’s Advisers on the Move database shows. Senior research analyst Devin McGinley says Robinhood’s net new hires of 37 in Q1 compare to the 52 it hired in all of 2020.

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Standardizing the terms used in ESG investing

A recent SEC risk alert cited “the lack of standardized and precise ESG definitions.” The Investment Company Institute has proposed a nomenclature for ESG investing, but CEO Eric Pan says the SEC alert shows “more work should be done in this space.”

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What clients want to know about ESG

Clients often ask about the definitions of ESG terms, the performance of ESG investments and how they can have an impact on issues they care about, said Jenifer Cannon, vice president of national accounts at Impax Asset Management.

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Sustainable investing isn’t done evolving yet

John Streur, CEO of Calvert Research & Management, reflects on ESG investing’s growth and where it’s headed

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Demand for lifetime income set to grow

Consumers’ interest in annuity products is likely to increase once the financial markets enter a downturn or see renewed volatility, said Jasmine Jirele, the new CEO at Allianz Life.

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How the 2021 Adviser Benchmarking study can help you

Devin McGinley, our Senior Research Analyst, explains the value of our 2021 Adviser Benchmark study for firm leaders, and implores our audience to take part in the study.

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Waiting for the Bitcoin ETFs

Greg King, CEO of Osprey Funds, which recently launched the Osprey Bitcoin Trust, predicts the SEC will make “some progress in the crypto space on a number of fronts” once Gary Gensler is confirmed as chairman.

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techSTACK$ hosts on using social media for prospecting

InvestmentNews goes behind the scenes of the March techSTACK$ podcast, asking its hosts their reactions to the social media expertise of famous TikTok influencer Humphrey Yang and other guests.

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Empower’s Ed Murphy sees $8 trillion DC business as growth market

The CEO and president of Empower Retirement, which recently surpassed $1 trillion in assets, also sees IRA rollovers as a driver of new business.

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Pandemic accelerated investing based on ESG and it’s continuing

Regulation of ESG ratings likely out of Europe and eventually guidelines from the US, too, says Remy Briand, head of ESG for MSCI.

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SEC signals its focus on ESG

Recent SEC announcements on ESG topics show this will be a “front-burner” item for the agency in coming years, says Bob Smith of Sage Advisory; he adds that that’s hardly surprising given the amount of money flowing into sustainable investments.

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Balancing your portfolio with fine wine

Wine can serve as an alternative investment that provides balance to a portfolio, says Gemma Castle, CFO at Cult Wines, which offers fine wine asset management. Castle says wine has been "a stellar performer" amid pandemic-induced market volatility.

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Investors increasingly want to know the impact bonds have on the world

ESG investors focus on exactly what is in their portfolios, as well as who is managing their investment, says Tim Coffin, director of sustainability at Breckinridge Capital Advisors.

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Planners boost pro bono efforts amid pandemic

The 7% rise in those receiving pro bono planning help in 2020 reflected both planners’ awareness of the need amid the pandemic and the fact that tech like Zoom lets planners help more, says Kristin Pugh, chair of FPA’s pro bono advisory committee.

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Behind the scenes of the Bitcoin podcast

Nicole Casperson and Sean Allocca on their latest tech STACK$ podcast episode: 'Bitcoin: enigma no more.' Why tackle BTC now, what did they learn, and are they going to buy into crypto themselves?

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2020 brought human capital management practices into focus

Trillium CEO Matt Patsky, who says his interest in ESG investing started at age 11, believes the pandemic and BLM have worked to push firms to think more about D&I, equity and other labor issues.

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Democratizing financial planning software is next hurdle, says Innovator Tony Leal

It's time to make planning available through all life stages and economic situations.

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ESG offers new way to view companies, says Innovator Amy Domini

Conventional investment firms finally recognized in 2020 that they need to have ESG offerings.

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PIABA pushes for more transparency on firm culture

Customers can go into BrokerCheck to look at a broker’s disciplinary history, but David Meyer, president of the Public Investors Advocate Bar Association, says Finra should show that data at the firm level so investors can assess a firm’s culture.

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Handicapping the race between mutual funds and ETFs

Mutual funds saw record outflows in 2020, while ETFs had record inflows. Todd Rosenbluth, director of mutual fund and ETF research at CFRA, weighs in on the outlook for the two types of funds, including what might happen in a bear market.

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SolarWinds cyber hack should raise adviser scrutiny of tech vendors

Nick Harness, chief information officer of Kestra Financial, recommended advisers also seriously consider cybersecurity insurance.

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How many trees did your impact investments save?

It's now possible to provide clients with data not just about how their impact investments performed financially, but also about the effect they're having on the environment or social equity, says Brett Wayman, Envestnet's vice president of impact investing.

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How to push corporate action through shareholder initiatives

Dieter Waizenegger, executive director of CtW Investment Group, describes how his firm encouraged Electronic Arts to make its pay practices more equitable

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Leveraging an art collection for liquidity

Cynthia Sachs, managing director of Yieldstreet and Athena Art Finance, explains why it may be better for clients who need cash to take a loan against their works of art rather than selling the art.

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Green priorities for Biden administration

Fiona Reynolds, CEO of the UN's Principles for Responsible Investment, says her group would like the Biden administration to prioritize climate change by putting in place policies that set the U.S. on a path to achieving zero net emissions by 2050.

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CFP Board’s D.A. Abrams links sustainability with diversity

The managing director of the Center for Financial Planning says increasing the diversity of the planning profession can help it deal with the impending departure of older planners

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Will Trout on ESG growth in the US

Javelin Strategy's head of wealth management is projecting robust growth in U.S. ESG investing, as the U.S. follows Europe’s lead, but he notes that European regulators have done more to impose universally accepted standards on such investments

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RBC’s Ron Homer on the ‘sweet spot’ for impact investing

Ron Homer, chief strategist for U.S. impact investing at RBC, cites mortgages for low- and moderate-income residents of the black community as an example of an impact investment that can benefit both the community and investors.

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US SIF CEO Woll on challenges of adding ESG to 401(k)s

The CEO of US SIF talks about the group’s policy recommendations for sustainable investing going forward, the challenges involved in getting more ESG offerings onto 401(k) menus and ways to learn more about sustainable investing

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3 Questions: Art Ally on faith-based investing

The president of Timothy Plan talks about the history of screened investing and how biblically based funds like Timothy Plan differ from ESG funds.

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3 Questions: Tara Fung on investing in alts

Fung, chief revenue officer at AltoIRA, explains how the company allows people to use their retirement funds to invest in alternatives online.

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3 Questions: Burt White on time travel and technology

The pandemic accelerated the industry’s adoption of technology, and Burt White of LPL Financial says advisers can make that work for them by implementing solutions that free them up to scale their businesses and spend more time with clients.

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3 Questions: Lisa Hopkins on NASAA’s priorities

Lisa Hopkins, new president of the North American Securities Administrators Association, says the group's priorities include the implementation of Regulation Best Interest and the continued growth in private markets

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3 Questions: Lisa Graham on tech adoption amid the pandemic

Lisa Graham, director of product management at eMoney Advisor, says the pandemic has accelerated the industry’s adoption of technology, but cautions that advisers need take into account clients’ level of comfort with digital platforms.

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3 Questions: The pandemic and ESG investing

The associate professor for the College for Financial Planning says COVID-19 has been a test for how investments that prioritize ESG criteria will endure through market volatility

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3 Questions: Ed Harrington on tech trends worthy of advisers’ attention

Oppenheimer's Ed Harrington discusses his firm's InvestCloud partnership and how financial advisers should be using tech to scale their businesses

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3 Questions: Brad Bueermann on the state of M&A

The CEO of FP Transitions talks about what he’s seeing in the market for financial advisory firms, including an increase in supply but also sellers that are getting pickier about finding the right fit

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3 Questions: Mary Beth Franklin on fixing Social Security

The InvestmentNews contributing editor discusses recent research on raising the maximum amount of earnings subject to Social Security taxes and what that change could mean for the program’s funding.

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3 Questions: Cooper Abbott on sustainable investing

The chairman and president of Carillon Tower Advisers talks about incorporating ESG data into investment research and which aspects of ESG investors are focusing on.

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3 Questions: Aaron Klein on risk tolerance and the pandemic

The CEO of Riskalyze talks about how the pandemic and this year’s market volatility have affected clients’ risk tolerance and the way advisers work with their clients.

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3 Questions: Karen Wallace on understanding ESG funds

Morningstar’s director of investor education explains why it’s so hard for investors to get a handle on ESG funds and talks about a new Morningstar platform that helps them assess which ESG issues funds are focusing on.

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3 Questions: Leo Kelly on private investments

The founder and CEO of Verdence Capital Advisors talks about which clients should be putting money into private investments and gives some tips on how to go about doing that

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3 Questions: Natalie Kenway on ESG investing

The London-based editor of ESG Clarity talks about the greater interest in ESG investing in Europe and how such investments have performed amid this year’s volatility

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3 Questions: Dennis Nolte on emergency funds

As the pandemic highlights how few Americans have set aside sufficient funds for a rainy day, the vice president of Seacoast Investment Services talks about how to help clients assemble an emergency fund.

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3 Questions: Tom Gearing on investing in wine

The managing director of Cult Wines talks about how investors can use wine to diversify their portfolios.

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3 Questions: Aron Szapiro on DOL’s proposed ESG rule

Morningstar’s director of policy research talks about what DOL’s regulation would mean for the use of socially responsible investing in retirement plans

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3 Questions: Wells Fargo dedicated to helping women advisers and clients

Krista Niswander Goryl of Wells Fargo answers: How can advisers help their female clients?

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3 Questions: Wells Fargo succession planning strategies for advice firms

Dave Altshuler of Wells Fargo answers: How can advisers protect their legacy when it's time to transfer their businesses to the next generation?

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3 Questions: Dave Parks on faith-driven investing

Mr. Parks of Keel Point discusses with Jeff Benjamin what faith-driven investing is, whether it makes sense for every adviser and what products are available

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3 Questions: Jim Caron on modern monetary theory

The Morgan Stanley Investment Management managing director talks about MMT, how it works and whether it could work in the U.S.

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3 Questions: Todd Rosenbluth on the right level for ETF fees

The senior director of ETF research at CFRA talks about ETFs that are trying to attract assets by cutting fees and the extent to which that strategy is working

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3 Questions: Ed Rosenberg on semitransparent ETFs

The head of ETFs at American Century talks about what the new type of exchange-traded fund means for the industry and what it will take to get advisers on board.

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3 Questions: Sue Toigo on the importance of mentoring

Sue Toigo, founder of the Toigo Foundation, which supports minority professionals in finance organizations, talks about the role of mentoring in fighting inequality.

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3 Questions: Haleh Moddasser on why proxy voting beats selling stocks

The managing partner of Stearns Financial Group discusses why divestiture is less effective than shareholder activism at convincing companies to make changes

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3 Questions: Knut Rostad on Reg BI and enforcement

The co-founder and president of the Institute for the Fiduciary Standard talks about criticism of SEC ‘regulation by enforcement,’ why dual registrants are susceptible to disclosure violations, and the promise of Reg BI.

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3 Questions: Scott Collins on the breakaway broker momentum

The TD Ameritrade managing director answers, what are brokers who are considering a move looking for?

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3 Questions: Christine Benz on the FIRE movement

Morningstar's director of personal finance answers, are followers of the 'financial independence, retire early' school of thought onto something?

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3 Questions: Jay Lipman on why demand for ESG investing is surging

The co-founder of Ethic Investing answers, why are investors seeking responsible investments during this period of market turbulence?

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3 Questions: Dale Brown on how the SEC is changing the rules mid-game

The president and CEO of the Financial Services Institute explains how the group is keeping its eyes on the SEC and other regulators

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3 Questions: Jeremy Holly on why advisers fail to do retirement planning for themselves

LPL's senior vice president of advisor financial solutions answers, why do so many financial advisers ignore succession planning?

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3 Questions: Ben Johnson on falling fund fees

Morningstar's director of global exchange-traded fund research answers: Is there a downside to the move towards reduced mutual fund fees?

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3 Questions: Tom Hake on Raymond James’ LGBTQ business resource group

The investment management consultant of Hake Investment Group answers: What motivated Raymond James to launch a Pride Financial Advisers Network?

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3 Questions: Erika Karp on the importance of ‘social’ in ESG investing

The CEO of Cornerstone Capital answers: What should advisers be asking clients about their values?

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3 Questions: Shundrawn Thomas on how silence prevents needed inclusion conversations

President of Northern Trust Asset Management answers: What's the message for the financial services industry when it comes to diversity?

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3 Questions: Joe Coughlin on how COVID-19 accelerated certain lifestyle trends

Director of the MIT Age Lab answers: How will the pandemic transform the way Americans live going forward?

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3 Questions: LeCount Davis on the gap in financial planning for diverse individuals

The founder of the Association of African American Financial Advisors answers: how do we make sure the financial services industry is meeting the needs of all Americans?

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Good News: Advisers offering services to California community

Cristofer Cabanillas of Monterey Private Wealth said people are looking for honest answers and help with financial decisions

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Good News: Advice industry raising funds to deliver financial planning to families

Jon Dauphine, CEO of Foundation for Financial Planning, describes new $1 million fund providing emergency grants to groups helping health care first responders and others impacted by the pandemic

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Good News: FPA has attracted 1,600 students to its “externship” program

Hannah Moore of Guiding Wealth describes how the Financial Planning Association is helping students experience the financial advice business without internships this year

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3 Questions: Barbara Roper on whether brokerage firms have prepped for Reg BI

Consumer Federation of America's director of investor protection answers: Why haven't firms done more to get ready for the June 30 implementation date?

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Good News: Advisers band together to help disabled individuals in Alabama

Keel Point adviser Thomas O'Connor describes how his firm is supporting a Huntsville, Ala., foster home for disabled residents.

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Good News: Organizing juice box happy hours for young students

Torie Happe of FIX Flyer uses Zoom technology to give isolated first graders a classroom feel

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3 Questions: Bill Crager on the role of technology in the new normal

The Envestnet CEO answers: What has the pandemic-induced quarantine shown advisers about their readiness to work remotely?

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3 Questions: Daniel Wiener explains why RIAs should not take PPP loans

The Adviser Investments' chairman answers: why don't RIAs deserve to take PPP loans from the government?

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3 Questions: Clara Shih on use of social media during COVID-19

CEO of Hearsay answers: How are advisers successfully using social platforms to connect with clients during the quarantine?

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3 Questions: Firm leveraging clients’ charitable efforts

Thrivent's Luke Winskowski on: How are you helping clients support charitable causes?

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3 Questions: Investing in firms that help those most hurt by pandemic

Impact Assets' Margret Trilli describes new fund that's sending capital to front line heroes and others supporting those impacted by COVID-19 fallout.

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3 Questions: Riskalyze engineer helping with his 3D printer

Riskalyze CEO answers: How is your fintech firm making the masks we wear more comfortable?

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3 Questions: Captrust supporting vulnerable communities

Captrust's Tiffany Larew describes how employees raised $145,000 to aid U.S. nonprofits that are helping those most hurt by pandemic's fallout.

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3 Questions: Christine Shaw on the evolution of InvestmentNews

InvestmentNews' CEO answers: How has InvestmentNews used technology to better engage advisers during this unique time?

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3 Questions: Building a youth baseball community during COVID-19

Nyle Bayer of Helios Quantitative is organizing kids age 5 to 15 to play ball as soon as Sacramento's fields are open.

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3 Questions: Encouraging compassion and contributions

Zac Larson of IntentGen answers: How did you mobilize clients to support the Chicago community?

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3 Questions: Adapting an advice firm on the fly

Charles Adi of The Blueprint 360 answers: How has the COVID-19 pandemic impacted your business?

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3 Questions: Creative cards for lonely clients

Kristen Lucas is sending hand drawn cards from her daughter to Luma Wealth clients who are living alone in quarantine

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3 Questions: Paul Saganey highlights philanthropy during pandemic

Integrated Partners' founder shares good deeds he's seeing in the industry, including how one adviser is making sure students in his community have food, and another firm that is offering small businesses free financial advice.

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3 Questions: Adviser delivering groceries to elderly clients

Ken Van Leeuwen finds bringing food to older clients in Princeton, N.J., helps him feel better during this challenging time

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3 Questions: Carson Wealth organizes good news drive-by

Advisory firm held a "positivity parade" in Omaha.

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3 Questions: Samantha Russell on turning prospects into clients

The marketing expert at Twenty Over Ten answers: how do I generate and convert leads through my firm's website?

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3 Questions: David Mehlhorn on the value of good news

Redtail Technology sales director describes the importance of sharing positive adviser news

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3 Questions: Rich Cancro on selling firm to Franklin Templeton

Founder of AdvisorEngine answers: How did the deal go down?

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3 Questions: Brian Hamburger on adviser recruiting

Founder and CEO of MarketCounsel answers: are advisers rethinking their plans to go independent?

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3 Questions: Larry Roth on M&A during a pandemic

The managing partner at RLR Strategic Partners answers: When will we see merger and acquisition deal flow pick up?

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3 Questions: Kashif Ahmed describes his coronavirus recovery

The American Private Wealth president answers: Did you tell your clients while you were suffering from COVID-19?

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3 Questions: What stands out about Best Places winners?

InvestmentNews' Devin McGinley describes policies and perks that make companies that earned Best Places to Work for Financial Advisers recognition stand out.

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3 Questions: How this adviser tackled COVID-19

Thomas Fross, co-founder of Fross & Fross Wealth Management, answers: How did having coronavirus impact your business?

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3 Questions: Inside a Best Places advisory firm

Danilo Kawasaki of Gerber Kawasaki answers: What do your employees say makes your firm a best place for financial advisers to work?

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3 Questions: Regulatory deadlines with Karen Barr

CEO of Investment Adviser Association answers, how hard will it be for advisers to meet form CRS requirements by June 30?

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3 Questions: Michael Kitces on adviser fintech today

The Buckingham Wealth Partners' head of planning strategy answers: Is technology supporting advisers amid the new normal of COVID-19?

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3 Questions: COVID-19 and ESG investing with Martin Jarzebowski

Federated Hermes' director of responsible investing answers, how has the pandemic impacted ESG investing?

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3 Questions: COVID-19’s impact on annuities with Emile Hallez

InvestmentNews' retirement reporter answers questions from Matt Ackermann, director of digital content, about this week's cover story on how the pandemic changes the market outlook for annuities.

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3 Questions: Markets and music with Josh Brown

CEO at Ritholtz Wealth Management answers, where are markets headed?

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3 Questions: Bear markets with John Forlines

CIO at W.E. Donoghue & Company answers, how are event-driven bear markets different?

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3 Questions: Adding video with Megan Carpenter

CEO of FiComm Partners answers, how can advisers best add video into their mix of client communications?