Portfolio Management System Is Advisors’ Most Critical Data Tool
The portfolio management system is one of the most important daily tools of any operations staff in an asset management firm.
The Goldilocks Theory of Fintech
Remember the Goldilocks fable? The infamous invader came across porridge that was too hot, porridge that was too cold, and porridge that was just right.
How to Determine Clients’ True Risk Tolerance
Risk tolerance is a much more complex and deeply nuanced concept than many advisors know.
The Problem With Client ‘Satisfaction’ and ‘Engagement’
When assessing how satisfied or engaged another person (or client) is in a relationship, that person’s actions, not words, say it all.
The Almost ESOP Small-Business Succession Strategy
An ESOP alternative using a modified DB plan structure may provide a viable option for small-business owners trying to transition the company (and minimize taxes).
The Investing Pros and Cons of Trump
Whether you or I agree with these pros and cons isn't relevant; the thinking of millions of people holding trillions of dollars in capital is.
Flat Fees Again: Hey, It’s Not My Fault!
Thoughtful comments from two readers requires another look at the flat fees vs. AUM compensation model for advisors.
BD Back-Office Consolidation: Profit Bonanza or Service Boondoggle?
There are three models broker-dealers are following in light of higher expenses and lower revenue. Which is best for reps, and their BD?
Fintech Innovation Picks Up the Pace
If you want to know the state of affairs in advisor technology, be sure to make the annual trek to Joel Bruckenstein’s Technology Tools for Today (T3) conference.
What Will New Financial Choice Act Look Like?
A memo from Rep. Jeb Hensarling is full of changes to his sweeping financial bill, but industry insiders see a tough sell in the Senate.