Results for "Jeff Benjamin"

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Client onboarding presents a critical first impression

March 25, 2019

In the financial planning industry there are lots of ways to recruit new clients, but what comes next can make or break a satisfying and lasting relationship. Whether the client is leaving another adviser or working with an adviser for the first...

Don't write off ESG investments out of habit — the demand is real

March 23, 2019

Opportunities in the financial services industry rarely look as inviting as the current market for investments focused on environmental, social and corporate governance factors. At around $12 trillion, which is up 38% from two years ago, ESG...

Merger mania: Why consolidation in the RIA space is about to explode

March 23, 2019

The steady increase in merger and acquisition activity in the registered investment advisory space over the past six years might seem impressive to some, but for industry players like Ron Carson, the party is just getting started. "I used to...

Has the quarterly client newsletter become old news?

March 22, 2019

When it comes to producing client newsletters, financial advisers either love them or hate them. And if they hate them, they usually abandon the idea altogether. "Most newsletters are a joke," said Josh Brown, financial adviser and CEO of Ritholtz...

What is causing the fever for RIA deals?

March 22, 2019

Deputy editor Bob Hordt and senior columnist Jeff Benjamin discuss factors adding fuel to the M&A fire in the independent advice space.

Finra budget to keep fees steady in 2019

March 21, 2019

The Financial Industry Regulatory Authority Inc. will not raise member fees for the sixth straight year, but depending how much it raises through fines and market performance, the broker-dealer regulator could draw up to $185 million from its...

Giving advisers ESG insight so they can grow

March 20, 2019

Whether it's due to reports of heat waves or polar vortexes, or the realization that businesses that are good stewards of the earth also tend to be responsible with investors' capital, the demand for socially conscious investment products has...

Succession plan success story

March 19, 2019

The story of Benjamin Tobias' succession plan is proof that having a good plan in place can help a firm endure and evolve through even the worst of circumstances. Mr. Tobias, 67, had been grooming two advisers to take over his Plantation, Fla.-based...

FPA butts heads with Michael Kitces over $8 million in 'missing' funds

March 18, 2019

The Financial Planning Association was forced into scramble mode Friday after a blog post from Michael Kitces alleged that the FPA was responsible for nearly $8 million worth of "missing" revenue over the past decade. Mr. Kitces, partner and...

ESG options scarce in 401(k) plans

March 16, 2019

By virtually any measure, the demand for socially conscious investment products has never been greater. Thanks in large part to support from women and young investors, investment strategies that focus on environmental, social and governance...

529 plans also miss the boat when it comes to ESG

March 16, 2019

If​ ever there was a market ripe for ESG investments, it would seem to be the 529 college savings program, which turns 20 this year. Even though most contributors to college savings plans are young parents who tend to be more conscious of...

Why millennial demand for ESG is falling on deaf ears

March 15, 2019

Editorial director Fred Gabriel and senior columnist Jeff Benjamin say there's a disconnect between the big appetite for environmental, social and governance funds in 401(k) plans and their offering.

Sweeping Ed Butowsky lawsuit takes on 'left-wing media bias'

March 14, 2019

Plano, Texas-based financial adviser Ed Butowsky has filed a sweeping lawsuit against 22 defendants, including lawyers and members of the media, claiming defamation and malicious prosecution related to lawsuits that have been filed against him....

Advisers see college admissions scandal as tip of the iceberg

March 13, 2019

The college admissions scandal in which dozens of wealthy parents are accused of various forms of cheating and bribery to get their children into elite universities is generally viewed as outrageous but not surprising by the financial planning...

Lipper plans ESG scoring system for mutual funds

March 12, 2019

In the latest acknowledgment by the financial services industry of a more socially conscious investor universe, Lipper plans to roll out a system for grading mutual funds based on social, environmental and corporate governance parameters. The...

2019 Lipper Awards: Faith-based fund takes a starring role

March 7, 2019

The 2019 Lipper Fund Awards by Refinitiv, recognizing the best risk-adjusted mutual fund performance, identifies more than 300 individual fund winners across multiple categories, but one of the biggest winners this year is a fund company that...

Risk-averse investors push advisers to their creative limits

March 6, 2019

One of the biggest challenges financial advisers face when working with clients in or near retirement is convincing them to embrace an appropriate level of investment risk, which is often where psychology must partner with reality. When considering...

Financial advisers take issue with Democratic plans to tax the rich

March 5, 2019

As Democratic contenders line up for a chance to take on President Donald J. Trump in the 2020 presidential election, the increasingly populist tone of calls to tax the rich is not lost on the financial planning community. "Those moving further...

SEC wins churning case against 'cockroaching' broker

March 5, 2019

The Securities and Exchange Commission obtained a final judgment against a broker charged with excessive churning of client brokerage accounts. William Gennity, who has been suspended from the industry by the Financial Industry Regulatory Authority...

Morningstar brings Pimco flagship fund down down a peg

March 1, 2019

For the first time in its 32-year history, the flagship Pimco Total Return Bond Fund (PTTRX) has found itself hoisting less than a four-star overall performance rating from Morningstar. While the fund-tracker gives the $65 billion fund its highest-level...

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