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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...

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....

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...

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...

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...

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...

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...

Don't fear millennials

September 18, 2019

Here's something to think about: Some estimates peg the cumulative student debt in the U.S. at $1.5 trillion — second only to mortgage debt — with the average college graduate starting their working lives $25,000–$30,000 in the hole. No...

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...

Gut check your digital leadership toolbox

September 19, 2019

Being a true digital leader requires more than a wardrobe change FinTech leaders have disrupted more than just the role of technology in the advice industry. Every company leader wants to be with these new cool kids. I counted just three ties...

The practice of gratitude

October 2, 2019

I've attended many retirement events for advisers, honoring them for their work with their clients through the years. They are always wonderful occasions, but I'm often surprised how hard it seems for many honorees to gracefully accept the positive...

Closing the gap between perception and reality in financial planning

September 19, 2019

The rumored multiples paid for the recent purchases of financial planning firms like MoneyGuidePro and Advizr — 25 times revenue — have been eye-popping. Envestnet reportedly spent over $500 million for MGP, while Orion paid $50 million...

Investment management outsourcing delivers greater client-service impact

September 12, 2019

In today's ever-evolving marketplace, financial advisers' businesses are growth and scale challenged. They face a fine balancing act as they look to engage new clients, while continuing to support and manage existing investor accounts — without...

Your client portal is not your client experience

September 5, 2019

By now, most clients realize they need some kind of web- or app-based interface for their clients. Many folks characterize younger investors as tech-savvy, but boomers — your most lucrative clients — are some of the most enthusiastic adopters...

Could Reg BI be a business opportunity?

October 4, 2019

The SEC's recently adopted Regulation Best Interest has spurred many industry participants to focus on the challenges for compliance. Often the typical response to a new regulation is to ask: "What can we do to satisfy this regulation and keep...

To benefit from outsourcing, advisers need to focus on what is, and isn't, core to their value

September 18, 2019

Advisers are increasingly outsourcing parts of their business to focus on growth. But a new study from Vestwell, a digital platform that allows advisers to offer and administer retirement plans, suggests many aren't doing it with a strategic...

Navigating the world of probability and certainty in your practice

October 3, 2019

Financial advisers often hang their value proposition on a phenomenon that for the most part is outside their control: portfolio gains. The laws of probability tell us that markets go up over time, but when they do and by how much is inherently...

Advisers can now create custom model portfolios using Betterment's white-label robo

October 2, 2019

Betterment is giving financial advisers greater control over how client assets are allocated in portfolios managed by the white-label version of its automated investment software. Firms will soon be able to create custom model portfolios on...

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