Displaying 4296 results
Financial fraud in the age of AI
Advisors can differentiate themselves by helping clients better understand the new types of scams that technology has made possible and advising them on what to do to guard against financial fraud.
With great growth comes great conflicts for RIAs
Where Wall Street goes, trouble is sure to follow.
How to hire new college grads and turn them into great advisors
Hiring workers fresh out of college doesn't come without challenges, but we've found that overcoming these challenges has been well worth it.
Don’t rush to open private equity floodgates
Change is in the air over what constitutes an accredited investor but how far should the industry go?
Helping clients prepare for a gray divorce
With less time to rebuild their nest egg, weather volatile markets, or work longer, older couples are at financial risk and need expert advice.
Don’t be in a rush to discount your fees
If an advisor greatly discounts or gives away his services, clients will discount that advice as well.
What advisors should consider before participating in awards season
Look at the award from the point of view of your clients and prospects before accepting.
High stock values and layoffs combine for big tax breaks on company stock
With the net unrealized appreciation tax break, company stock can be withdrawn from a 401(k) in a lump-sum distribution and have its appreciation taxed at capital gains rates, rather than as ordinary income.
Industry should reflect on pace of change
Advisory teams that can relate to our changing demographics not only makes sense socially but also from a business standpoint.
Compliance should be a conversation
Maintaining an open dialogue lets advisors and the compliance team work through concerns together, finding solutions rather than confronting roadblocks.
Block out time in your schedule for growth
Successful advisors never lose their focus on growth and are consistent in their approach to finding new people to serve.
Everyone wants NextGen advisors. Why can’t they find any?
One of the main drivers creating the need for firms to implement a succession plan is the staggering wealth transfer that's on the horizon.
Giant conflicts alleged involving a former advisor
'I worked my whole life trying to save for now, and I can't retire,' says Galia Meiri, one of the advisor's clients.
What is the future of advice?
The industry has largely moved on from investment-centric presentations to more human-centric, interactive experiences, but it seems advisors aren’t yet fully seizing this opportunity.
Avoiding mental traps when investing
At the root of many investor mistakes are the fears, biases and other common behaviors that undermine sound investing.
Be the doctor, not the pharmacist
Your job is to build deep trust with prospects, and that comes from their feeling you understand their issues at a deep level.
Despite SEC’s novel alignment on bitcoin ETF, it’s business as usual in regulatory politics
'This vote is not going to usher in a new era of strange alliances on votes on rulemakings or other applications to list and trade products,' says a securities lawyer. But staving off potential court intervention may shape upcoming final rules.
When you should, or shouldn’t, recommend more protected lifetime income
Here are some of the key characteristics that may make some clients better candidates for such a solution than others.
You owe your clients a succession plan
It still seems that most aging independent advisors don’t sell their practice or retire; instead, they simply reduce their workload and 'retire in place.'
How to court Gen Z investors with intelligent automation
Affluent clients want better digital capabilities and personalized offerings, so a super-charged digital business transformation has huge benefits.
