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.
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.
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.
The Medium Is the Message, When the Subject Is Investor Protection
The Committee for the Fiduciary Standard suggests mainstream media have an important role in investor protection, but I wonder if the emphasis is misplaced.
Financial Technology M&A Deals: Will Advisors Win or Lose?
TA Associates and NorthStar; Fidelity and eMoney; SS&C and Advent—the list goes on. Here's how advisors can assess these deals' implications.
Why I’m Excited About My Newest Tech Purchase
With an eMoney subscription, I’ll be able to exchange data between my custodian and Morningstar Advisor Workstation and, I hope, seamlessly update clients' financial plans.