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3 ways to take your planning business to the next level

June 17, 2019

It's no secret that there's been a trend toward providing advice and planning. This has been a good development, reflecting not just evolutions in the regulatory world but the preferences of an increasing number of investors. For advisers who...

Betterment for Advisors debuts paperless ACATS system

June 17, 2019

Betterment wants to remove more paperwork from the day-to-day lives of financial advisers. The digital advice company is making the Automated Customer Account Transfer Service, or ACATS, completely paperless for financial advisers using Betterment...

How a preacher's son won 51 LGBT clients

June 17, 2019

I was settling the estate of a longtime client when his son shared life-changing news. He was transitioning to a woman and planning gender reassignment surgery. I grew up in church — the son of a preacher — and was taught to love. It made...

You don't need to know sign language to work with deaf clients, but it helps

June 14, 2019

James Rooney hadn't planned on carving out a niche working with deaf clients. But nearly 30 years after his first encounter with a deaf client, he has become Morgan Stanley's go-to adviser for this unique community of clients. "The firm has...

Reg BI won't stop advisory sector advances over broker-dealers, Pershing's Tibergien says

June 13, 2019

Growth in the investment advisory sector will continue at a rapid pace despite the Securities and Exchange Commission's regulatory changes that are supposed to close the gap in the standard of care between investment advisers and brokers, according...

The truth about family office jobs

June 12, 2019

Family offices are on the hunt for talent. Yet attracting financial hotshots to C-level positions at wealthy families' investment offices is tricky work, mostly because not everyone is prepared for the culture change. Working directly for some...

Hire new college grads, and help plan for the future of your firm

June 11, 2019

Do you have a plan for the future of your firm? Mentoring new college grads is a great answer. Each year, our colleges and universities produce over 2.5 million graduates. Most, obviously, aren't ever hired by investment advisers and financial...

What 'Avatar' and 'Avengers: Endgame' can teach advisers about what clients want

June 10, 2019

"Avatar" and "Avengers: Endgame" sit as No. 1 and No. 2 on the list of the highest-grossing movies in history (not adjusted for inflation). Both have taken in over $2.5 billion dollars at the box office. "Endgame" became China's highest-grossing...

10 things people in finance should never say

June 10, 2019

At a recent event in New York City, I chatted with a money manager whose presentation had impressed me. At least, I was impressed until he uttered one of those hackneyed phrases that just make me flinch. This is an occupational hazard in the...

The biggest threat to wealthy families may be internal

June 10, 2019

From geopolitical uncertainty to real estate bubbles, the world is full of risks to investment portfolios. Yet the biggest threat to a family losing its wealth over generations may be internal. Fights over succession planning or individual investment...

It takes a village: The value of collaborative adviser communities

June 7, 2019

As demographic trends shift and a decade-long bull market accelerates investor wealth, financial advisers are faced with increasing pressure to address the changing needs of their clients. The last 10 years have generated more wealth among investors...

The power of culture

June 6, 2019

Culture — it's that squishy, fuzzy thing we hear about. It's hard to define, but we know it when we feel it. Generally, an office's culture is pretty evident within minutes of entering the space. But is yours happening by accident or are you...

RIA makes fiduciary duty its calling card

June 6, 2019

When the founders of AGW Capital Advisors launching a financial advisory firm in April 2009, in the wake of the financial crisis and at the stock market's low point, they decided to embrace the elephant in the room. "When people lose money,...

The future belongs to visionaries. Let's build their tools today

June 6, 2019

If you ask someone in the financial services industry about their goals, chances are good you'll hear that they want to attract more clients, improve their client experience or accelerate their growth. The specifics vary, but most want to get...

Lessons learned from 21 deals

June 3, 2019

While I didn't start out as a deal-maker in wealth management, I have found it to be a dynamic, fast-paced, exciting and fulfilling role in my nearly 20-year career as an executive at Mercer Advisors, currently a $15 billion independent registered...

Personal compliance: Your social media needs to pass this important test

May 31, 2019

The inspiration for this column comes from Game of Thrones. Now there's something I never thought I'd type. The funny thing is I've never seen the show. And don't worry about spoilers, as I don't plan to watch it. But the problem as it relates...

Overcoming reservations about converting to investment models

May 30, 2019

With few exceptions, advisers today should be using investment models, which save time, improve processes and allow them to spend more time with clients, all of which directly correlates to higher profits. Many advisers will scoff at that, believing...

Selling your firm, even if you've never thought about it

May 29, 2019

Even if you've never thought about selling your financial planning firm or practice before, now's the time to familiarize yourself with the landscape. Just look at what's going on in our industry: Goldman Sachs is buying United Capital. Ric...

Sometimes a sale is the best succession plan

May 28, 2019

When Kara Duckworth and her father Michael Duckworth began looking for ways to transition ownership of the advisory firm they launched in 1998, selling the business was not what they had in mind. "We were originally going to do an internal succession...

What to do when your marketing campaign isn't really a campaign

May 28, 2019

You're a financial adviser with a new case study or an event to promote, and you're planning a marketing campaign. You write a killer Facebook post and shoot it out to all your followers. Now it's time to sit and wait for the engagement, calls...

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