Results for "client servicing"

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Guiding clients through the Medicare maze

November 11, 2019

My Medicare moment has finally arrived. I signed up for Medicare Parts A and B for coverage beginning in December, the month I turn 65. Now my mailbox is brimming with advertisements for Medicare Advantage plans and Part D prescription drug...

States considering rules for how advisers charge subscription fees

November 1, 2019

Correction: The following article has been corrected to clarify the source of Michael Kitces' fee comparison of advisers who charge based on assets under management and the caps he said some states put on subscription fees. State securities...

Navigating the RIA ecosystem

October 31, 2019

Picture a tree in a forest. You're likely picturing this tree as a singular entity. But, there's a vast and unseen network of interconnectivity beneath the surface. Several years ago, scientists discovered that trees communicated through their...

UBS looking to deploy fintech to reach mass affluent

October 31, 2019

Like many firms, UBS Global Wealth Management is looking to improve its digital financial planning capabilities, eliminate paper, and make it easier for more investors to access financial advice, the firm's technology executives said on Wednesday...

Is this the moment when financial planning becomes a profession?

October 31, 2019

Fifty years​ ago, a small group of 13 financial professionals came together and put forth the concept of financial planning, a way of delivering financial advice and guidance to the public in a comprehensive manner across multiple financial...

Building an emotional connection can grow your business

October 31, 2019

Financial professionals are often eager to gain new clients but less keen on asking for referrals. By focusing on emotionally connecting with their current clients, advisers may be able to generate more organic word-of-mouth recommendations....

What value do you add? Start by communicating

October 29, 2019

Our industry is changing. Asset allocation is now a commodity, investors are flocking to passive investments and the historical discount brokerages are offering financial planning. So the question independent advisers should be asking themselves...

Adding value during health insurance open enrollment

October 28, 2019

While a lot of people see the annual health insurance open enrollment period as a big headache, Michael Policar sees it as a big opportunity. Mr. Policar, wealth manager at HighTower Advisors Bellevue, has carved out a niche by rolling up his...

4 areas advisers should investigate before leaping to another firm

October 24, 2019

Anyone who's ever switched jobs — or entered into marriage — has thought "this isn't what I expected." Often, advisers join a new firm with high hopes of serving their clients better while also growing their business, only to become disillusioned...

What Schwab's fractional shares announcement means for advisers

October 18, 2019

Charles Schwab Corp. will soon let investors buy and sell fractions of equities on its digital brokerage, the Wall Street Journal reported Thursday. As Schwab looks beyond no-fee trading, it feels fractional shares will further expand access...

FPA study: Financial planners don't plan for their own future

October 17, 2019

Financial planners need to do more planning about their own future, according a report released Thursday by the Financial Planning Association. The study shows that practitioners are failing to adapt their services to changing client habits...

Technology can help balance adviser portfolio discretion with firm controls

October 17, 2019

The technology most closely connected with firm growth and adviser retention isn't digital advice or "frictionless process automation," according to a new report by consulting firm F2 Strategy and MyVest, a digital advice vendor owned by TIAA....

ESG hardliners blacklist $16 trillion US treasuries market

October 16, 2019

Some of Europe's strictest ESG funds are snubbing the world's most liquid investment — the $16 trillion U.S. Treasuries market. A 33 billion-euro ($36 billion) French state pension plan and ESG funds run by the likes of Erste Asset Management,...

Sell but stay, and watch your business grow

October 15, 2019

I spoke at a conference recently, and I couldn't help but notice the advanced ages of many of my peers. The fact is that our industry is full of advisers who are approaching retirement age. And, in speaking with them, I learned that a few have...

Using technology to manage investor behaviors

October 15, 2019

As a financial adviser, how do you measure the value you deliver to your clients? Or more importantly, how do your clients measure the value you deliver to them? Is it just about performance? Or is it more about the intangibles — about helping...

Growing your practice beyond you

October 14, 2019

Picture this — you're on a boat. The boat is sinking and you're trying to plug the leaks, but new holes keep popping up. At this point, you don't know whether you'll sink or float. This situation may sound all too familiar to advisers. When...

Enhancing financial advice with model portfolios

October 11, 2019

Shifting demographics, changing attitudes toward advice, and growing regulatory and compliance requirements are placing greater demands on financial advisers to generate more efficiencies and economies of scale to meet their goals. Despite these...

Drug costs for some U.S. seniors to rise by hundreds of dollars

October 11, 2019

Senior citizens with high prescription drug costs are facing hundreds of dollars in additional expenses next year, according to a new analysis of Medicare's drug program by a nonprofit research group. Medicare's drug benefit, known as Part D,...

October is the new April for taxpayers, accountants after tax law confusion

October 10, 2019

For Americans who couldn't figure out how to pay their taxes in April after Republicans overhauled the tax code, there is a new day of dread for accountants: Oct. 15. That's the filing deadline for individuals and corporations that asked the...

Working to get Reg BI implemented

October 8, 2019

We were very pleased when the SEC's new common standard of care for all advisers, Reg BI, was passed as a formal rule. While we approved of the rule's approach to protecting investors, improving disclosure and mitigating potential conflicts...

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