Results for "client servicing"

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Learn to love delegating

August 21, 2019

As a planner and adviser for almost three decades, I've become good at delegating. But I sure didn't begin that way. Like many of you, I started with a desk, a phone, and a manager who gave me a lot of encouragement, but no leads or clients....

Volatility reignites debate about market timing

August 15, 2019

Increased stock market volatility, including the market's 3% drop on Wednesday, has put financial advisers back into a position of defending buy-and-hold investing strategies to nervous clients. "A big part of our job is convincing people they're...

New SEC videos aim to help investors identify brokers vs. investment advisers

August 15, 2019

Investors trying to decide whether to hire a broker or an investment adviser can now turn to the Securities and Exchange Commission's website, where the agency posted videos on Thursday designed to highlight the differences between them. The...

Take a break! 5 simple summer pleasures

August 14, 2019

Ahh, summer! A time to enjoy a change of pace. Schedules open up as clients leave town for some R&R. You and your staff likely take time off, too. But in addition to vacations, we all need to take breaks throughout the day. In fact, the research...

What advisers can learn from the industry's early AI leaders

August 13, 2019

Financial services firms will have to fundamentally reconsider how humans and machines interact, both within their firms and with customers, if they want to take advantage of artificial intelligence technology, according to a new report from...

The SECURE Act could mean big changes for advisers

August 13, 2019

While it's not surprising that the Setting Every Community Up for Retirement Enhancement (SECURE) Act is tangled in a political decision-making web, it's reassuring that the conversation about helping Americans save for retirement is still on...

How to help clients avoid information overload

August 13, 2019

We live in a world of data overload. We are constantly being bombarded with information and messaging about how to think, act and even dream. The average American is on their smartphone for 5.4 hours per day. That is not even including the time...

Helping clients manage volatility for the long run

August 12, 2019

Since last September, we've seen the S&P 500 Index reach an all-time high, weather a 20% drop, gain it all back and keep on climbing. Financial professionals are accustomed to these ups and downs, but to an investor saving for retirement, a...

Dually registered advisers found to have conflicts and higher fees

August 8, 2019

Investment advisers who also are registered as brokers are rife with conflicts of interest and charge their clients more than independent RIAs, according to a new academic study. In a paper released on Wednesday, Nicole Boyson, professor of...

Is your firm using the technology you need to succeed?

August 2, 2019

Think about the technology your firm currently uses. Does it satisfy your client reporting needs? Is client reporting an easy task, or is it frustrating, taking up more time and resources than it is worth? Within the last decade, Technology...

Orion bringing HSA data to portfolio management dashboard

July 30, 2019

Orion Advisor Services is adding health savings account data to its portfolio management software to satisfy a growing adviser appetite to offer clients financial advice on these tax-friendly investment accounts. The fintech company is partnering...

Capital One data hack puts financial advisers on high alert

July 30, 2019

The data breach at Capital One Financial involving more than 100 million people in the United States and Canada has given financial advisers a new reason to remind their clients about the need to take identity protection measures seriously....

Two of the most widely-used adviser fintechs you've never heard of

July 29, 2019

Financial advice requires boatloads of paperwork, but two little known fintech firms have been working for 20 years to make it easier. They likely are the most widely used adviser technology firms in the market — even if most advisers don't...

Young adviser's focus on 'joy, security, confidence' resonates with millennials

July 24, 2019

Sophia Bera wants to make something crystal clear: She is not your father's financial planner. That's Ms. Bera's marketing tagline, and evidence of it is all over the 35-year-old's website. There's the personal brand on display at her company,...

Self-reliance is essential, but it could be your downfall

July 23, 2019

I started out as a commission-based salesperson at a national financial services firm. It was the best bad thing that ever happened to me. (I'll explain why in a moment.) That firm sold me (and 20 others) on the money I could make and provided...

Morgan Stanley launches 'digital vault' platform for clients

July 22, 2019

In a move to increase cybersecurity, Morgan Stanley has launched a digital collaboration tool that permits encrypted cloud-based document storage and sharing between clients and their adviser. (More:​ Envestnet adds easier document storage...

If you aren't asking tough questions, you aren't doing your job

July 22, 2019

As fiduciaries, it's our job to push clients to think about uncomfortable aspects of their lives. To name a few: discussions around retirement and death, providing feedback on spending, estate planning, gifting to family members — or saying...

How do advisers estimate a client's longevity?

July 18, 2019

Estimating how long a client will live is an inherently challenging, yet critical task for financial advisers. Lifespan is at the heart of every financial plan, and a misstep could mean the difference between clients' financial security and...

The wealth management circle of life

July 18, 2019

It's no secret that there's $30 trillion that's expected to be passed down from baby boomer parents to their Generation X and millennial children over the next 30 years. This vast movement of wealth is reminiscent of the point in "The Lion King"...

What to copy from Personal Capital's client experience

July 17, 2019

The rise of robo-advisers like Betterment and Wealthfront lit a fire under traditional advice firms to start modernizing their technologies to improve the client experience. Personal Capital may not be the largest of such firms but it's the...

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