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Creating time-tested retirement income plans

September 3, 2019

I usually set aside Labor Day for reflection, not just about the official end of summer, but about broader topics that I encounter as a columnist for InvestmentNews. So I was thrilled when two veteran financial advisers I admire — Phil Lubinski...

4 things advisers miss when it comes to CRM

August 30, 2019

Financial advisers and wealth planning firms are always looking for new technology to improve their businesses. When I started working in fintech 20 years ago, the technology available to independent financial advisers was limited. Forward-thinking...

UBS reshuffles execs atop wealth management unit

August 29, 2019

UBS Group CEO Sergio Ermotti moved to quell concerns surrounding the bank's long-term succession plan with a radical overhaul of the top ranks, hiring a star banker from a rival and ousting some of its most senior executives. After a year marred...

The future of advice is still human

August 29, 2019

As the CEO of a digital clearing and custody firm, it may come as a surprise that I believe the future of financial advice will not be entirely machine-based. Instead it will be centered around the things that make us human. Human-centered design...

It's time for leadership, not just innovation

August 27, 2019

A tired bull market and the demographic age wave are converging on the advice industry. The implications demand much of leaders whose skills may be rusty — or outdated. Humans have a tendency to think short term. Nobel laureate Daniel Kahneman...

Disruptive look at the confluence of digital and human advice

August 26, 2019

Earlier this year, industry leader Steve Gresham and I engaged with InvestmentNews to host roundtable conversations with the architects, builders and champions of tech-enabled platforms that are powering the future of financial advice. The transformative...

Verbal agreement became a succession plan

August 23, 2019

Sometimes a verbal agreement is all you need to get a succession plan rolling. That was the case in August 2008, when John Middleton walked away from a job as an institutional portfolio manager at Invesco to become a financial adviser at a $41...

Learn to love delegating

August 21, 2019

As a planner and adviser for almost three decades, I've become good at delegating. But I sure didn't begin that way. Like many of you, I started with a desk, a phone, and a manager who gave me a lot of encouragement, but no leads or clients....

Why advisers should eliminate the B word

August 21, 2019

In our professional and private lives, our days seemed to be filled with the question, "How are you?" Colleagues, family, friends — we're all asking each other this auto-pilot inquiry. And many of us respond with a robotic, "Oh, I'm good …...

As Wells Fargo seeks CEO, toll on stock hits $24 billion

August 20, 2019

At Wells Fargo's town hall meetings, executives have fielded countless questions from employees about efforts to resolve scandals that erupted almost three years ago. One looming topic hasn't come up recently: Who will run the bank? While the...

Investing tips from the wealthiest family on earth

August 16, 2019

Sam Walton would probably be bewildered by the businesses his grandchildren have chosen to pursue, but the late founder of the world's largest family fortune would likely have applauded their initiative. [More: Estate tax pretty much 'optional,'...

New SEC videos aim to help investors identify brokers vs. investment advisers

August 15, 2019

Investors trying to decide whether to hire a broker or an investment adviser can now turn to the Securities and Exchange Commission's website, where the agency posted videos on Thursday designed to highlight the differences between them. The...

Volatility reignites debate about market timing

August 15, 2019

Increased stock market volatility, including the market's 3% drop on Wednesday, has put financial advisers back into a position of defending buy-and-hold investing strategies to nervous clients. "A big part of our job is convincing people they're...

What RIAs should learn from Uber and Lyft

August 15, 2019

A recent New York Times article called Uber and Lyft two of "the largest and most anticipated … companies to have gone public this year," but in the same breath declared that "they were also the biggest flops," as "both were racking up huge...

Take a break! 5 simple summer pleasures

August 14, 2019

Ahh, summer! A time to enjoy a change of pace. Schedules open up as clients leave town for some R&R. You and your staff likely take time off, too. But in addition to vacations, we all need to take breaks throughout the day. In fact, the research...

What advisers can learn from the industry's early AI leaders

August 13, 2019

Financial services firms will have to fundamentally reconsider how humans and machines interact, both within their firms and with customers, if they want to take advantage of artificial intelligence technology, according to a new report from...

The SECURE Act could mean big changes for advisers

August 13, 2019

While it's not surprising that the Setting Every Community Up for Retirement Enhancement (SECURE) Act is tangled in a political decision-making web, it's reassuring that the conversation about helping Americans save for retirement is still on...

How to help clients avoid information overload

August 13, 2019

We live in a world of data overload. We are constantly being bombarded with information and messaging about how to think, act and even dream. The average American is on their smartphone for 5.4 hours per day. That is not even including the time...

Revenue multiples don't tell the story of your firm's value

August 13, 2019

Most small business owners have no idea what their businesses are worth. Many turn to financial planners to determine the value of their most crucial asset. But if you ask a registered investment adviser about the value of his or her practice,...

Helping clients manage volatility for the long run

August 12, 2019

Since last September, we've seen the S&P 500 Index reach an all-time high, weather a 20% drop, gain it all back and keep on climbing. Financial professionals are accustomed to these ups and downs, but to an investor saving for retirement, a...

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