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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,...

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...

JPMorgan, BlackRock say investors too cautious on repeat of 2008

October 4, 2019

Investors are pumping the brakes too hard on equities amid concern a repeat of the 2008 financial crisis is around the corner, according to JPMorgan Chase & Co. and BlackRock Inc. Anastasia Amoroso, a global investment strategist at JPMorgan...

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...

Advice industry reacts to Jud Bergman's death

October 4, 2019

News that Envestnet CEO Jud Bergman died in a car accident Thursday along with his wife, Mary Miller, shook the financial advice industry. As the leader of the largest turnkey asset management platform and adviser technology provider, Mr. Bergman...

Don't dismiss clients' woes just because they're rich

October 3, 2019

Editor's note: This is the first contribution from a new columnist, Sarah Newcomb, who will be writing every other month on behavioral finance. Jeff Bezos caught some heat recently when he asked that people stop referring to him and his peers...

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...

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...

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...

Should you fire a middling employee?

October 1, 2019

If you were a general manager trying to build a championship sports team, would you intentionally stock your roster with mediocre players? No way. You'd never stop searching for the best people you could find. I've had hundreds of employees,...

Wells Fargo's New York CEO fuels questions about its West Coast base

September 30, 2019

Wells Fargo & Co.'s interim chief Allen Parker tried to bring a New York urgency to the California bank. The new boss is bringing New York. Charlie Scharf, who three years ago left the top spot at San Francisco-based Visa Inc. to rejoin his...

Wells Fargo names BNY Mellon's Charles Scharf CEO

September 27, 2019

Wells Fargo & Co. named Charles Scharf chief executive officer, marking a new era in the bank's efforts to turn itself around after a series of scandals claimed two previous CEOs in the past three years. Scharf, the CEO of Bank of New York Mellon...

Taxes are one thing – not the 'only' thing

September 27, 2019

Tax Day has come and gone. As advisers to high-net-worth individuals and families, tax planning is a year-round priority. HNW clients have wide-ranging objectives that include everything from transferring large amounts of money to younger generations,...

Raymond James doubles down on digital with advisers in control

September 26, 2019

Raymond James Financial Inc. is "doubling down" on its investment in technology to give its more than 7,000 advisers digital financial advice tools, a top executive at the company said. But that doesn't mean that Raymond James intends to push...

Senate confirms Scalia as DOL secretary on party-line vote

September 26, 2019

Eugene Scalia became the new Labor secretary Thursday. The Republican-majority Senate confirmed Mr. Scalia to head the agency on a party-line vote, 53-44. He now takes over a department whose fiduciary rule to raise investment advice standards...

4 ways to build a team that believes in making an impact

September 26, 2019

As more than 230 Carson Group stakeholders converge in Omaha this week for our annual two-day, companywide retreat, their presence reminds me of what it means to make an impact. It reminds me that, as advisers, we often forget the reach of our...

Can a recession benefit an advice firm?

September 21, 2019

To hear Leon LaBrecque talk about how to prepare a financial advisory firm for an economic downturn, one might assume he is actually rooting for such a scenario. Truth is, the chief growth officer at Sequoia Financial Group has learned through...

Keep clients in the loop about market realities

September 21, 2019

Nobody ever really wants to be the bearer of bad news, but financial advisers have a responsibility to prepare clients for the reality that economies move in cycles and markets don't just climb. For a lot of clients, and even some financial...

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...

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