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What Schwab's fractional shares announcement means for advisers

October 18, 2019

Charles Schwab Corp. will soon let investors buy and sell fractions of equities on its digital brokerage, the Wall Street Journal reported Thursday. As Schwab looks beyond no-fee trading, it feels fractional shares will further expand access...

Zero-fee trading was a warning shot. Asset management is next

October 18, 2019

Over the last few weeks, we've seen broker after broker abolish its commission trading fees. Interactive Brokers was the first to reach the zero-fee finish line and the rest have followed suit, with Charles Schwab's move triggering action by...

Firms advance culture that supports differences

October 17, 2019

At its second annual Excellence in Diversity & Inclusion Awards event, InvestmentNews recognized financial advice industry firms that are advancing diversity and inclusion within their own firms and around the profession. [More: The Excellence...

FPA study: Financial planners don't plan for their own future

October 17, 2019

Financial planners need to do more planning about their own future, according a report released Thursday by the Financial Planning Association. The study shows that practitioners are failing to adapt their services to changing client habits...

Technology can help balance adviser portfolio discretion with firm controls

October 17, 2019

The technology most closely connected with firm growth and adviser retention isn't digital advice or "frictionless process automation," according to a new report by consulting firm F2 Strategy and MyVest, a digital advice vendor owned by TIAA....

ESG hardliners blacklist $16 trillion US treasuries market

October 16, 2019

Some of Europe's strictest ESG funds are snubbing the world's most liquid investment — the $16 trillion U.S. Treasuries market. A 33 billion-euro ($36 billion) French state pension plan and ESG funds run by the likes of Erste Asset Management,...

Using technology to manage investor behaviors

October 15, 2019

As a financial adviser, how do you measure the value you deliver to your clients? Or more importantly, how do your clients measure the value you deliver to them? Is it just about performance? Or is it more about the intangibles — about helping...

Sell but stay, and watch your business grow

October 15, 2019

I spoke at a conference recently, and I couldn't help but notice the advanced ages of many of my peers. The fact is that our industry is full of advisers who are approaching retirement age. And, in speaking with them, I learned that a few have...

Growing your practice beyond you

October 14, 2019

Picture this — you're on a boat. The boat is sinking and you're trying to plug the leaks, but new holes keep popping up. At this point, you don't know whether you'll sink or float. This situation may sound all too familiar to advisers. When...

Drug costs for some U.S. seniors to rise by hundreds of dollars

October 11, 2019

Senior citizens with high prescription drug costs are facing hundreds of dollars in additional expenses next year, according to a new analysis of Medicare's drug program by a nonprofit research group. Medicare's drug benefit, known as Part D,...

October is the new April for taxpayers, accountants after tax law confusion

October 10, 2019

For Americans who couldn't figure out how to pay their taxes in April after Republicans overhauled the tax code, there is a new day of dread for accountants: Oct. 15. That's the filing deadline for individuals and corporations that asked the...

Working to get Reg BI implemented

October 8, 2019

We were very pleased when the SEC's new common standard of care for all advisers, Reg BI, was passed as a formal rule. While we approved of the rule's approach to protecting investors, improving disclosure and mitigating potential conflicts...

Could Reg BI be a business opportunity?

October 4, 2019

The SEC's recently adopted Regulation Best Interest has spurred many industry participants to focus on the challenges for compliance. Often the typical response to a new regulation is to ask: "What can we do to satisfy this regulation and keep...

JPMorgan, BlackRock say investors too cautious on repeat of 2008

October 4, 2019

Investors are pumping the brakes too hard on equities amid concern a repeat of the 2008 financial crisis is around the corner, according to JPMorgan Chase & Co. and BlackRock Inc. Anastasia Amoroso, a global investment strategist at JPMorgan...

Advice industry reacts to Jud Bergman's death

October 4, 2019

News that Envestnet CEO Jud Bergman died in a car accident Thursday along with his wife, Mary Miller, shook the financial advice industry. As the leader of the largest turnkey asset management platform and adviser technology provider, Mr. Bergman...

Don't dismiss clients' woes just because they're rich

October 3, 2019

Editor's note: This is the first contribution from a new columnist, Sarah Newcomb, who will be writing every other month on behavioral finance. Jeff Bezos caught some heat recently when he asked that people stop referring to him and his peers...

A better set of performance metrics for RIAs

October 3, 2019

As in every field, financial advisers have a standard set of metrics they use as a barometer for success. Think of times you've met a fellow adviser. To get a sense of her firm, you likely asked about its assets under management, its growth...

Navigating the world of probability and certainty in your practice

October 3, 2019

Financial advisers often hang their value proposition on a phenomenon that for the most part is outside their control: portfolio gains. The laws of probability tell us that markets go up over time, but when they do and by how much is inherently...

The practice of gratitude

October 2, 2019

I've attended many retirement events for advisers, honoring them for their work with their clients through the years. They are always wonderful occasions, but I'm often surprised how hard it seems for many honorees to gracefully accept the positive...

Advisers can now create custom model portfolios using Betterment's white-label robo

October 2, 2019

Betterment is giving financial advisers greater control over how client assets are allocated in portfolios managed by the white-label version of its automated investment software. Firms will soon be able to create custom model portfolios on...

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