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6 best practices for running your firm

July 2, 2019

In the past, the small business owner could get by without being an active CEO. But those days are long gone! Today, you must wear many hats (or hire others to wear them) — including HR manager, marketer and CFO — to keep your firm healthy...

Ask these cybersecurity questions

July 1, 2019

Every new digital tool a financial adviser adopts increases the firm's vulnerability to a cybersecurity attack, and many advisers aren't doing enough to ensure the third-party vendors they work with meet the highest security standards. About...

How 'high beam thinking' can help advisers adapt to a changing future

June 28, 2019

Technology innovation is happening faster than ever, and the pace is only speeding up. In order to keep up, advisers need to adopt what futurist Scott Klososky called "high beam thinking." Instead of thinking about technology disruption as linear...

Increase diversity or die, Pershing CEO Tibergien tells RIAs

June 27, 2019

For Mark Tibergien, CEO at BNY Mellon's Pershing, making the financial advice industry a more diverse and inclusive place isn't just the right thing to do — it's imperative for the survival of the business. People have been talking about the...

Milestone planning helps clients and advisers

June 26, 2019

New trends and developments are always on the horizon in the financial planning industry. For the past few years, the focus on retirement income planning has been growing and taking the country by storm. The growth and integration of financial...

Advice industry leaders focused on improving the digital client experience

June 26, 2019

With most advisers on their way to having a core technology stack in place that digitizes much of their day-to-day tasks, industry leaders are now turning their attention from the back office to the front of the house. Because for many advisers,...

Advisers have their sights set on these fintech tools

June 26, 2019

Financial professionals who are increasingly competing with online digital advice firms are looking for their own set of digital advancements: tools that highlight the benefit of the human advice to clients and notifications to help advisers...

Advisers step up efforts to help clients manage student loan debt

June 25, 2019

While many of the Democrats running for president are proposing new ways to shift the cost of college onto taxpayers, some financial advisers are focused on helping their clients to better understand and manage the financial burdens of higher...

5 important pieces of social media news

June 25, 2019

We're more than halfway to 2020, and while that in and of itself could be a fascinating topic for a different kind of column, I thought I would use this opportunity to round up some pretty important things going on across different social media...

Advisers who pick stocks are hurting clients — and the value of their firms

June 25, 2019

If you're an adviser and you pick securities for your clients, you're not only wasting time and money, you're probably doing them a grave disservice. I've been a financial planner and adviser for almost three decades, and it never ceases to...

Senate confirms Allison Lee to SEC

June 20, 2019

The U.S. Senate voted Thursday to confirm Allison Lee to serve as a Securities and Exchange commissioner, bringing the markets regulator back to full strength. By a voice vote, the Senate confirmed Ms. Lee to the post, where she will fill a...

Advisers investing in technology to prepare for possible recession, Schwab study finds

June 20, 2019

Financial advisers are worried about a potential downturn or recession and to prepare for the storm they are investing in technology, according to the latest Independent Advisor Outlook Study from Charles Schwab Advisor Services. Two-thirds...

Everyone knows the wholesaling model is flawed. Here's what to do about it

June 19, 2019

The financial adviser business model has evolved numerous times over the past 40-plus years. In the 1970s and '80s, for instance, mutual fund commissions were as high as 8%. When those rates eventually came down, advisers adjusted. More recently,...

Account consolidation preferred more in theory than in practice

June 19, 2019

While 49% of affluent clients of financial firms say they would prefer to use a single institution to serve the bulk of their financial needs, just 36% of those expressing such a preference actually use one provider, according to research by...

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...

Two fintech firms providing tools for uber wealthy clients

June 17, 2019

The core idea behind a lot of adviser technology is to either improve service for current clients, or help a practice grow by making it more efficient. Often that means making it cost-effective to serve next-generation or mass affluent investors....

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. "If a deaf client...

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...

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