The Best Way for Advisors to Stand Out
Don’t hide your passion for what you do under a basket, advisors! Passion is contagious: your employees and clients will thank you.
Combating Elder Abuse Requires More Than Raising Awareness
NASAA is drafting model legislation to address how broker-dealers and advisors should respond when they suspect or detect senior financial exploitation.
Luring Millennials Is a Waste, Take 2: Serving the Children of Clients Makes Sense
It seems pretty clear that millennial clients are not going to fit into the AUM fee business model of many independent advisors. However...
Home Security Cameras: ‘Gotcha Cams’ Deter or Detect Crimes, at a Cost
The market for “pinhole” video cameras is booming, but high-net-worth families should know the disconcerting legal consequences for their improper use.
Judge Intervenes After SEC Creates Wrongful BD ‘Death Spiral’
A judge has turned a $19 million SEC case against Panamanian broker-dealer Verdmont into a $240,000 case because of the agency's rush to judgment.
First Impressions of Redtail’s CRM Offering
Now that I've talked to an actual person at Redtail, I've been impressed with its CRM offering for advisors.
What Do Tougher FINRA Suitability Standards Mean for You?
FINRA's new rules have elevated the importance of risk profiling and risk tolerance, which are often lost in the shuffle.
Retirement Plan Participants Need You — Now!
The same advisors who will fight tooth-and-nail for a 401(k) rollover have no advice for the existing company 401(k) plan. You can change that.
Former Obama Official: Advisors Need to Serve Lower-Income Families
After the financial crisis, "many families who were financially secure before are now living paycheck to paycheck,” says Michael Barr.
My Morningstar Workstation and Redtail CMS Experiences
I'm impressed with Morningstar's interest in getting feedback on Advisor Workstation, but I wish dog-friendly Redtail had been a little more advisor friendly.