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Don't let brokers violate client trust

November 23, 2019

Is it possible for clients to trust their financial advisers too much? [More: Protecting client data is an ongoing obligation] On the face of it, one would think not. After all, people in the industry often claim their goal is to become their...

To move advisers into the future, adoption is the new innovation

November 22, 2019

While many agree on what the future of advice will look like — increased competition from big firms and advisers using technology to offer holistic services beyond investment management — how the industry arrives there is a tougher question....

Advisers who overlook retirement income may face stiff competition

November 21, 2019

In May of this year, the House of Representatives passed a piece of bipartisan legislation — the SECURE Act — which, if enacted, would represent a major step forward in expanding access to guaranteed lifetime solutions for American workers....

Empowered female advisers can make a difference

November 19, 2019

In the financial services industry, women represent fewer than one in five positions in the C-suite. This sharply contrasts with the reality that women are more engaged in financial decision-making than ever before, and are increasingly becoming...

Learning how to instill confidence in clients

November 18, 2019

According to the Merrill Lynch Women & Financial Wellness report released earlier this year, the No. 1 financial regret that women have is not investing more of their money. [More:​ From the C suite with New York Life's Yie-Hsin Hung: Getting...

RIA consolidation could put $2.4 trillion in play over next decade

November 18, 2019

The aging financial adviser demographic is expected to put $1.6 trillion worth of client assets in play over the next five to 10 years, according to research from Cerulli Associates. The Boston-based consulting firm counts $2.4 trillion in client...

Join the diversity movement

November 18, 2019

It might be 2019, but cringe-worthy news stories make it seem like it's 1959. At the annual Financial Planning Association conference in October, I swapped cringe-worthy, 2019, real-life stories with four esteemed women financial planning thought...

Honoring the top women in the advice industry

November 18, 2019

Welcome to InvestmentNews' fifth annual Women's Issue, the only issue in the entire year where we hold off on sharing breaking news and features to focus our complete attention on the women who are leading the financial advice industry and inspiring...

Top advisers know which clients are worth keeping, and which to let go

November 15, 2019

A positive company culture and hiring the right talent are key elements of top-performing advisory firms, but what about client selection? According to research from American Century Investments and InvestmentNews, the most successful firms...

Regulators can do more to protect vulnerable, senior investors

November 14, 2019

In recent years, our industry has taken enormous strides to prevent the financial exploitation of seniors. Regulators, firms and financial advisers have united in their efforts to create, enhance and utilize tools designed to protect senior...

From the C suite with New York Life's Yie-Hsin Hung: Getting more women invested

November 14, 2019

With women projected to inherit about 70% of the great wealth transfer over the next decade, New York Life Investment Management spent 2019 focused on helping financial advisers improve their outreach and communications with female investors....

Fisher asked women to appear in ads. Not all were happy about it

November 14, 2019

Late last month, Fisher Investments surprised hundreds of female employees with a last-minute meeting. Jill Hitchcock, a senior executive vice president, made an unusual request: Would they pose for a group picture showing their support for...

How new fintech solutions can assist with Reg BI

November 14, 2019

Financial services organizations have been tasked with showing that their broker-dealers and registered investment advisers are working in clients' best interest under the Securities and Exchange Commission's new Regulation Best Interest rule,...

Top advisory firms focus on culture as well as growth

November 13, 2019

InvestmentNews celebrated 17 firms as best practices at the 2019 Top Advisory Firm Summit Wednesday in Chicago. The firms were recognized for being among the top quartile of a combined 557 responses from InvestmentNews' 2019 Compensation and...

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...

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...

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...

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....

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...

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