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Jud Bergman remembered, and what happened at Envestnet when the CEO suddenly died

December 11, 2019

In an emotional tribute to Envestnet Inc. founder Jud Bergman, his business partner, William Crager, spoke Wednesday at the MarketCounsel Summit in Miami Beach about Mr. Bergman's sudden death in October, their decades of friendship and the...

The greatest service we provide to clients

December 11, 2019

If you're an adviser, the greatest value you bring to clients is keeping them from making mistakes from which they won't recover. This past week, I was reflecting on the different outcomes experienced by two couples who recently came into our...

Where does the SECURE Act stand?

December 11, 2019

At first sight, it appeared that the Setting Every Community Up For Retirement Enhancement Act, known as the SECURE Act, was primed for immediate passage after flying through the House with a 417-3 vote. But progress slowed when the measure...

Advisers are drowning in fintech choices

December 10, 2019

The last decade has seen an explosion of fintech and wealthtech companies, to the point where it is difficult to keep track of them all. One of the most popular graphics currently making the rounds on the conference circuit is the Michael Kitces...

Morgan Stanley lays off approximately 1,500 workers

December 9, 2019

Morgan Stanley is cutting about 1,500 jobs globally, including several managing directors, as part of a year-end efficiency push. The cuts are skewed toward technology and operations divisions, but also include executives in sales, trading and...

Reducing potential family conflicts

December 9, 2019

The Internal Revenue Service recently announced that in 2020, the first $11.58 million of a taxable estate is free from federal estate taxes by virtue of the new federal estate tax exemption. As a result, a vast majority of estates will not...

Timing matters when it comes to managing sequence-of-returns risk

December 6, 2019

"Time is money" is a popular adage, but when it comes to retirement, it's usually timing that matters most. Significant losses or depletions to savings early in retirement can diminish a retiree's nest egg and derail plans. This is known as...

Why one adviser went all-in on ESG when Donald Trump became president

December 6, 2019

Three years ago, when Jeffrey Gitterman transitioned his $120 million advisory firm to be 100% focused on ESG investing, he said the key to getting clients on board was in the explanation. Even though he admits that the Gitterman Wealth Management...

Citi tells rich clients to stop being so nervous about stocks

December 6, 2019

Citigroup's private bank wants its clients to work on an attitude adjustment. Next year will be "brighter than many expect," Citi Private Bank said in its 2020 outlook — "Staying Positive in a Negative (Yielding) World" — published Thursday....

How to end a client relationship gracefully

December 5, 2019

The recent InvestmentNews Top Advisory Firm Summit presented findings from benchmarking studies and research on trends in the industry. The good news? Many firms seem to be embracing best practices for choosing and keeping the right clients,...

How advisers can help prevent elder bankruptcy

December 5, 2019

Our golden years should be filled with happiness and leisure, not anxiety and financial hardship. Sadly, the number of elderly Americans filing for bankruptcy relief has increased dramatically over the past three decades. More than one-tenth...

'Text me,' say clients, but many B-Ds don't allow it

December 5, 2019

While 87% of advisory firm employees believe their clients would like to communicate with them via text, 29% of firms have a "no client texting" policy, a new survey from Redtail Technology finds. In addition, the survey found that 40% of respondent...

Why complying with Reg BI can't wait for the last minute

December 4, 2019

The good news is, the Securities and Exchange Commission's upcoming Regulation Best Interest is not expected to dramatically change most daily business activities for financial advisers and registered representatives. The bad news is, advisers...

Schwab, Wells Fargo and Edward Jones praised for mobile apps

December 3, 2019

Some wealth management firms are figuring out how to build apps that resonate with retail investors and the effort is paying off, according to a new study by J.D. Power. Apps from Charles Schwab, Wells Fargo and Edward Jones all earned high...

Thriving in a bifurcated economy: Services versus stuff

December 2, 2019

There's a lot of discussion lately about the disparity between the haves and have-nots, whether it's about the wealth gap, with the top 1% controlling nearly as much wealth as the middle and upper-middle classes put together, or the separation...

LPL improves ClientWorks to chop five minutes from account opening process

December 2, 2019

As LPL Financial works to save advisers one hour per day through technology improvements, it is starting with five minutes. The new account opening tool going live Monday on ClientWorks, LPL's digital workstation for advisers, has 30% fewer...

Treading a fine line with clients when politics comes up

November 30, 2019

Financial advisers may try to avoid talking politics with clients, but clients rarely miss a chance to engage advisers about how the election might affect their portfolios. That starts a delicate conversation. [More:​ Billionaires could see...

You'd better increase your service offerings, or else find partners who can help

November 26, 2019

Here's a warning: Your clients are going to expect a lot more out of you in the coming years than you are probably providing today. And if you don't start preparing for it, you might as well get out of the business. I've been an adviser for...

Richest of rich are no longer Holy Grail for Credit Suisse

November 26, 2019

Iqbal Khan's successor at Credit Suisse Group AG's international wealth management unit is betting the richest clients aren't necessarily the most profitable. Philipp Wehle, who took over after Mr. Khan's acrimonious split from the lender this...

How to build your OSJ business and attract and retain advisers

November 25, 2019

The adviser landscape is changing. Investors are demanding more from financial advisers, technology is impacting how advisers work with their clients, and a broadened fiduciary standard continues to encourage a shift to fee-based business. Financial...

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