The SEC on ADV Disclosure, Aaron Rodgers and the Robare Decision
The multiple, troubling parallels between a TV commercial starring the Packers’ quarterback and the SEC’s overkill on the Robare conflict-of-interest case.
Is Your Broker-Dealer in a Death Spiral? 4 Steps to Discovery
A BD’s management will rarely share problems at the firm until it’s too late. Here’s how reps can overcome that challenge, according to Jon Henschen.
ETF Tactical Trades for 2017: EM, Rates, Biotech and More
Expectations of administration policies and other market shifts present potential openings for bulls and bears alike as we head into the New Year.
Where Charitable Giving May Head With Trump
Studies by the Congressional Budget Office and Treasury have suggested that repealing the estate tax would cut into philanthropy.
7 Estate Planning Resolutions for Clients to Make Now
The post-election, busy holiday season is actually the right time to ensure clients' estate plans are up to date.
Single Premium Whole Life Gives Estate Planning an Edge
For the right clients, this product may provide the gateway for achieving not just retirement planning but all their planning goals.
Beware of Data Mining: Market Lessons From the Election
If a gold mine is a hole with a liar standing on top, a successful data miner is a quant with data lying to himself.
3 Topics for Year-End Client Talks — Searching for Alpha for December 2016
With the Fed expected to raise rates, you may want to speak to clients on the makeup of their portfolios.
Financial Services Explained, Pt. 3: The Levels of Independent Advice
In this post in our series, an explanation of the different affiliation models of professional advice-givers, aka advisors.
How the Best Advisors Are Like Olympic Athletes
The next generation of advisors is talented, adaptable and looking for guidance from the industry’s pioneers.