Can Robo-Advisors Really Be Fiduciaries?
Can robo-advisors "be neatly placed within our existing laws," SEC Commissioner Kara Stein asks, "or do we need certain tweaks and revisions?"
Three Ways to Build Relationships: Advice From 400 B.C.
Although Rich Babjak of World Equity Group counsels advisors not to start a program of giving back for the sake of pulling in more business, his own good work has brought him several good clients.
Engaging Millennials: Working Together to Move the Profession Forward
Over the course of this year, I have listened to close to half a dozen presentations about how to engage the millennial client.
Schwab: RIAs Ascending, but $23 Trillion Is There for the Taking
At its 25th annual Impact conference, the head of SAS encouraged RIAs to think big, saying there's an estimated $23 trillion in affluent client assets that live outside the RIA channel.
RIAs and the Pricing Paradox
The financial planning business model has undergone a number of transformations since it was created in a room at the Chicago O’Hare Hilton in 1969.
How Doing Good Can Help Advisors Do Better
The widespread market crash of 2008-2009 left many shell-shocked advisory firm staffers wondering whether their efforts still had any meaning.
Wealth Is Not a Niche
In the height of conference season, I have the opportunity to engage with hundreds of advisors on a variety of topics.
Tech Support: New Website Connects Advisors With Services
I’ve written before that technology gave rise to the independent advisory industry.
Why Advisors Ignore ESG Investing at Their Peril
Advisors who fail to understand the growing popularity of investing according to environmental, social and governance principles risk falling behind their competition.
Ex-Morgan Advisor, in Unusual Move, Takes FINRA Arb Case to Federal Court
Few advisors appeal a FINRA promissory-note ruling because the odds of winning are slim; however, Laurie Facsina’s case is different from most.