Gifts and Entertainment: SEC Reminds Advisors of the Rules
An SEC Guidance Update is a good reminder of the G&E limitations on funds and their advisors; RIAs and BDs should take heed as well.
Why Risk Management Isn’t Like Car Shopping
As cheap risk modeling revolutionizes the way everyone invests, it is important to keep in mind one crucial two-word question: “So what?”
Minimize Execution Error in Your Practice’s Vital Processes
Make sure you have repeatable, written processes to ensure success, and block out time to complete those processes. No more excuses.
Why Advisors Attend Conferences Now: Next-Gen Recruiting
And who is helping advisors with this mission? As shown by its words and actions, TD Ameritrade stands out.
11 Reasons Why Putting Brokerage Clients’ Interests First Is a Bad Idea
The reasons raised by the brokerage industry against DOL’s fiduciary proposal are good, but out of the goodness of my heart, I offer some more.
White House Is Not Fond of Hidden Retirement Fees
The Obama administration says "conflicted investment advice" costs Americans $17 billion a year. Let's look at their math.
Getting the Right Tools for Financial Planning, Asset Management
I've changed my financial planning software, and have re-upped for Morningstar Advisor Workstation, with one very nice addition: YCharts.
QLACs Change the Game in Social Security Timing
Insurance carriers have begun to offer qualified longevity annuity contracts, which can reshape a client’s entire retirement income planning strategy.
Now Comes the Hard Part for Greece
Friday’s accord was necessary but far from sufficient. The larger challenges ahead to resolve the Greek crisis will be far more difficult to overcome.
Busy? Yes! But Are You Good Busy?
We’re all busy, but to be good busy, start by reviewing your productivity and your job description.