Surprise! Investors Often Don’t Know What Their Goals Are
Behavioral science can explain why it's surprisingly difficult for clients to accurately tell you their goals, but it can also provide ways to help.
5 Simple Steps to Create a Marketing Calendar for 2016
The start of a new year is an ideal time for financial advisors to revamp their strategies and plan for the year.
A Fiduciary Primer: What’s a Rep’s Responsibility to Clients?
Questions from a veteran RIA — and former broker — reveal the lack of understanding among advisors of the fiduciary issue.
How to Differentiate Yourself From Other Advisors
Why do clients hire us in the first place?
Dear Breakaway Broker: Know Your Employment Agreement(s)
Whether you’re a rep, an RIA or an advisor employer, it’s wise to understand the legal issues around employment.
How to Make Owner-Advisors' Lives Less Lonely at the Top
As firms grow, owner-advisors have to adapt to new roles which can be good for you, your staff and for (more) clients.
Debate on Fiduciary Is Over; Battle for ‘Best Interest’ Rages On
The debate on fiduciary duties ended with the DOL rule win. The battle continues over the meaning of fiduciary and “best interest.”
Quiz Time: Do Investors Understand How Financial Services Really Works?
Financial literacy is a noble goal, but clients and investors would be better served by understanding some basics about the industry.
Managing a Client’s Emotional Response to Declining Markets
It is up to us to help clients fully understand and stay true to the notion “buy low, sell high,” Mike Patton writes.
Will SEC Fiduciary Rule Address ‘Best Execution’ Quandary? Probably Not
While rulemaking would be the best approach, the SEC will continue to address through enforcement advisors' fund share class selection and so-called “best execution” duties.