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Riding the waves of zero-fee disruption

November 12, 2019

When we discuss the ways disruption has affected the technology we use and the work we do, the impact is often framed in a linear fashion. One thing changes, and then something else adapts immediately in reaction to that change. While this is...

Digital moneyball

November 12, 2019

Billy Beane of the Oakland A's was baseball's first digital leader. His 2002 team set the major league record for consecutive wins and took their divisional title — with a human player payroll one-third that of the top-paying teams. The league...

When will our industry grow up?

November 12, 2019

When will our industry grow up? This past week, I met an incredible young man who is just two years out of college. So far, he seems to have done all the right things, including studying finance, earning his certified financial planner designation...

Guiding clients through the Medicare maze

November 11, 2019

My Medicare moment has finally arrived. I signed up for Medicare Parts A and B for coverage beginning in December, the month I turn 65. Now my mailbox is brimming with advertisements for Medicare Advantage plans and Part D prescription drug...

Former TCA by ETrade exec lands as CEO of fast-growing RIA

November 8, 2019

Joshua Pace, the former president of the custodian business at TCA by ETrade, has landed a new gig as chief executive of Apella Capital, a Glastonbury, Conn.-based advisory firm with $1 billion under management and plans to grow through acquisitions....

Being mindful about retirement

November 8, 2019

I recently googled "Joni Youngwirth." Wow — what an experience. The results that came up took me through the history of my professional life, or at least the last 20 years of it. During that time, I probably authored more than 200 articles...

Firms need to communicate better with their valued advisers

November 7, 2019

There are a host of reasons why advisers choose and then ultimately stay with — their firm, with geography, culture and product availability being among the most common. Perhaps no consideration, however, is as important as service. While...

SEC proposes allowing advisers to use testimonials, endorsements in ads

November 5, 2019

The Securities and Exchange Commission has proposed revising its advertising rules for investment advisers for the first time in nearly 60 years, allowing them to post testimonials, endorsements and third-party ratings on social media. Under...

Fisher Investments won't take no for an answer, prospects say

November 1, 2019

The hard selling was relentless, even infuriating, prospective customers said. Marketers called their homes, spammed their work email and impersonated friends, colleagues and government officials. "CALLS REPEAT EVERY DAY. I SUBMIT A COMPLAINT...

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...

Volatility expected to rise in 2020, say ultrahigh-net-worth investors

November 1, 2019

Nearly two-thirds of ultrahigh-net-worth investors expect volatility to increase in the next twelve months, and a similar number say that market volatility will increase their likelihood of working with an adviser. [Recommended video:​ Clients...

InvestmentNews announces new chief content officer

November 1, 2019

George Moriarty has been named chief content officer of InvestmentNews. Mr. Moriarty, currently vice president of content and editor-in-chief at Seeking Alpha, a web service that provides news and analysis on financial markets, succeeds outgoing...

Navigating the RIA ecosystem

October 31, 2019

Picture a tree in a forest. You're likely picturing this tree as a singular entity. But, there's a vast and unseen network of interconnectivity beneath the surface. Several years ago, scientists discovered that trees communicated through their...

Is this the moment when financial planning becomes a profession?

October 31, 2019

Fifty years​ ago, a small group of 13 financial professionals came together and put forth the concept of financial planning, a way of delivering financial advice and guidance to the public in a comprehensive manner across multiple financial...

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...

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....

Florida's Broward Health pulls $93 million from Ken Fisher

October 31, 2019

The Broward Health system in South Florida, responding to lewd comments made by money manager Ken Fisher, pulled the $93 million it has invested with his firm. The board voted Wednesday to terminate its association with Mr. Fisher's company...

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...

Adding value during health insurance open enrollment

October 28, 2019

While a lot of people see the annual health insurance open enrollment period as a big headache, Michael Policar sees it as a big opportunity. Mr. Policar, wealth manager at HighTower Advisors Bellevue, has carved out a niche by rolling up his...

Private bankers are chasing the uber-rich in Germany

October 28, 2019

Its economy is contracting and the nation's largest lenders are a mess. And yet banks from BNP Paribas to JPMorgan Chase & Co. are scrambling to win business from Germany's ultra-wealthy. Deutsche Bank, Goldman Sachs and Rothschild & Co. are...

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