White papers and reports

InvestmentNews presents the latest and most targeted thought leadership for the financial industry.

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Commonwealth Financial Network
While political risks have dominated the headlines in recent months, Commonwealth CIO Brad McMillan suggests that the underlying fundamentals continue to support economic and market growth, at least through year-end.
Charles Schwab
Hybrid RIAs can maintain both a brokerage and advisory business - using their independence to create the future they imagine for themselves and their clients.Download this white paper to learn more.Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading and support services of Charles Schwab & Co., Inc. ("Schwab"), member SIPC.Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.The Charles Schwab Corporation provides a full range of securities brokerage, banking, money management and financial advisory services through its operating subsidiaries.Schwab does not provide legal or regulatory advice. Advisors should consult legal and compliance advisors to address specific circumstances.InvestmentNews is not affiliated with The Charles Schwab Corporation. InvestmentNews will share your information with Sponsor, Charles Schwab & Co., Inc.. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.TRG (0819-941E) (08/19)
Cetera Financial Group
To reach millennials online, you need to be where they are. We’ve put together outreach and audience-building strategies—including LinkedIn, Twitter, and live video—specifically for financial advisors.
Smarsh
The SEC & FINRA have been hard at work enforcing supervision & compliance regulations in the financial services industry. In this report, we review 10 of the most notable violations to better understand how they occurred & how firms are managing enhanced SEC & FINRA scrutiny.
Northern Trust Asset Management
Investors spend a lot of time on getting their portfolio allocations right. But that’s just the start. Keep your portfolio mix on right track with these rebalancing ideas.Promotional Description: Investors spend a lot of time on getting their portfolio allocations right. But that’s just the start. Keep your portfolio mix on right track with these rebalancing ideas.
Cambridge
At Cambridge, we understand the importance of planning for the future. Whether that means joining an established firm as you grow your business or creating a plan to ensure the protection of your clients’ needs and the security of your mature business, Cambridge is prepared to guide you through the process.
FMG Suite
FMG Suite’s whitepaper addresses the concerns broker-dealers face when selecting new technology solutions for advisors. Key insights include compliance considerations, content creation, and adoption.
Mass Mutual
This white paper delves into the topic of financial stress and its impact on the financial wellbeing of both employers and the employees they serve. Along with key findings from our recent consumer needs study, including the behaviors that prevent many employees from achieving financial security and best practice insights on financial wellness programs.
Investments & Wealth Institute
This whitepaper reviews the U.S. Securities and Exchange Commission’s (SEC or Commission) recently updated market conduct standard for brokerage firms, Regulation Best Interest (Reg BI). Instead of ending the debate over the appropriate standard for financial advisors, the SEC’s recent action exacerbates the internal divide within the financial services industry.
Sammons Retirement Solutions
Many individuals may face uneasiness as they near retirement, but there are other options available that provide a protected, guaranteed income stream they may need for a financially stable retirement. And for financial professionals that embrace these types of options, opportunity awaits.
July 08, 2019
T. Rowe Price
We have long recognized the potential of the cloud to upend the software industry given the benefits it offers users, including reduced overhead and constant updates. We are seeing new opportunities in companies that are deploying AI in areas such as cybersecurity.
T. Rowe Price
Bank loans appear to offer relative value despite a deterioration in protections for investors and the potential for the Fed pause to hurt demand. We believe that the current environment of slow but steady economic growth with low inflation is ideal for loans. We see low levels of new supply and strong demand from CLOs supporting the loan market.
Written and produced by the InvestmentNews Content Strategy Studio, this supplement discusses the current fixed-income landscape generally, municipal bond markets and the outlook for the industry.
The 2019 InvestmentNews Adviser Technology Study provides a blueprint for the industry, with actionable takeaways and the latest solutions to help advisers drive profitability, efficiency and growth for their firms. This comprehensive research tool to will shed insight onto what other advisers are doing to optimize their technology investments and operations.

Click here to order your copy of the 2019 Adviser Technology study
Written and produced by the InvestmentNews Content Strategy Studio, this special supplement features interviews with the top portfolio managers of the winning funds and fund families. This supplement includes listings of the award winners and their details, as well as a background on the criteria for the Lipper awards.
This report summarizes the latest thought leadership surrounding cybersecurity, technology and the future of advice. In addition to insight, this report provides actionable steps for advisers to incorporate into their evolving businesses.
The 2018 InvestmentNews Pricing & Profitability Study is the industry’s only research report that details how independent advisory firms are adding assets, generating revenue – and ultimately boosting their bottom line. It is the premier benchmarking report for forward-thinking advisers who are looking to make informed decisions about the future growth of their businesses. The Pricing and Profitability Study, formerly the Financial Performance Study, is designed for firm leaders who are looking to understand how their firm’s business results compare to other leading advisory firms. It provides detailed breakdowns on the key financial drivers – revenues and costs – of growth, while also presenting the extensive benchmarking data.

Click here to order your copy of the 2018 Study of Pricing and Profitability.
The InvestmentNews Compensation & Staffing Study 2018 Update provides an update on key trends in recruiting, staffing structures and pay levels throughout the financial advice industry. Specifically, the report will deliver forecast for total 2018 compensation levels for more than 30 typical positions within a firm. In addition, it provides full compensation tables for positions that were added, promoted or newly hired over the last year.

Click here to order your copy of the 2018 Compensation & Staffing Study.
This report summarizes the latest thought leadership surrounding cybersecurity, retirement income, technology and the future of advice. In addition to insight, this report provides actionable steps for advisers to incorporate into their evolving businesses.
A handful of “Elite” RIA firms continue to grow at a rate that significantly outpaces the industry at large – and many elite firms are making short- and long-term investments designed to continue to accelerate their rapid growth. Download this new study from InvestmentNews Research and BlackRock to learn more about the growth strategies of the industry’s top firms. Specifically, this study will focus on:

• How Elite RIAs are scaling their businesses to establish their brands and improve operations
• The investment management approaches Elite RIAs are taking to differentiate their firms and attract larger clients
• How top firms are using M&A to identify strategic growth opportunities
• Technology strategies for improving productivity and providing a “next generation” client experience
• The “emerging elite RIAs” and the opportunities for new business models to help ignite growth
A blueprint for the industry, this benchmarking study provides actionable takeaways and the latest solutions to help advisers drive profitability, efficiency and growth for their firms.

This comprehensive research tool to will shed insight onto what other advisers are doing to optimize their technology investments and operations and help you better your business.

Click here to order your copy of the 2017 Adviser Technology Study. Use discount code SAVE50 to save $50 off study price.
This report summarizes the latest thought leadership surrounding cybersecurity, regulation, mentoring, compensation and the growing demand for comprehensive wealth management. In addition to insight, this report provides actionable steps for advisers to incorporate into their evolving businesses.
Is your firm paying competitive compensation and employee benefits? Find out now by ordering the 2013 Compensation & Staffing Study, which highlights comprehensive compensation benchmarking data on 24 advisory firm job positions and outline current trends in owner compensation.
Our bi-annual study on the financial performance of advisory firms provides industry benchmarks on advisory firm financials including common-sized income statements, balance sheet and key performance ratios.

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