Conversation
Allison Bell
|
April 20, 2018
Dhiren Jhaveri says he has a different strategy because he has a different type of investor.
News
Bernice Napach
|
April 20, 2018
State plans to offset the new limit on SALT deductions raise issues for the IRS and local governments.
News
Allison Bell
|
April 20, 2018
No word on whether clients expect you to know how to bake a cake, or how to patch a flat.
News
Michael Fischer
|
April 20, 2018
Global industry assets fell by 1% in March, ETFGI reports.
News
Allison Bell
|
April 20, 2018
Michel worked at UNIFI and New York Life before branching out on his own.
Commentary
Nir Kaissar |
April 20, 2018
Proposed standards, stopping short of a fiduciary rule, let them keep charging fees.
News
Emily Zulz
|
April 20, 2018
In other enforcement actions, LPL faces a FINRA fine and the SEC charges a businessman for stealing from a pension plan.
News
Allison Bell
|
April 19, 2018
The company says it helps middle-income Americans prepare for retirement.
News
Allison Bell
|
April 19, 2018
The Bell Works site was once the home of a research center that helped give birth to modern technology.
Best Practices
Sharon Roth Maguire |
April 19, 2018
Some clients have to move from planning for long-term care to implementing the plan.
News
Emily Zulz
|
April 19, 2018
Under the new client experience system, firms no longer need to transition their client data to a new CRM.
News
Janet Levaux
|
April 19, 2018
Which firm had the best profits? The most advisors? The highest level of assets?
Q&A
Jane Wollman Rusoff
|
April 19, 2018
The co-anchor of the long-running, levelheaded "Nightly Business Report" tells ThinkAdvisor about her 37 years in financial media.
News
Melanie Waddell
|
April 19, 2018
Advocates for RIAs and consumers said the SEC didn't clearly define "best interest" in the 1,000-plus page proposal.
Analysis
James J. Green|
April 19, 2018
Suite of tools provides much-needed solutions for clients while helping advisors grow their business and justify their fees.
News
Janet Levaux
|
April 19, 2018
The deal should add some 900 advisors and about $23 billion in assets under administration to its base of 500 reps with some $30 billion
Bernice Napach
|
April 19, 2018
Breakaway activity also accelerated after several high-profile exits from the broker protocol.
Commentary
Ben Carlson|
April 19, 2018
In this market, dollar cost averaging provides a lower probability of large losses.
News
Michael Fischer
|
April 19, 2018
Year-over-year health care costs were relatively flat, Fidelity’s cost estimate shows.
News
Allison Bell
|
April 19, 2018
The company says it will use senior note financing to get itself in shape for a more independent existence.
News
Zachary Tracer and David McLaughlin|
April 19, 2018
A top official says 'vertical deals' require too much federal compliance monitoring.
News
Allison Bell
|
April 19, 2018
A witness told members of a new committee that 1 million people could soon face 90% benefits cuts.
Commentary
Aaron Brown|
April 19, 2018
Fund assets at some funds are too low for good returns to help much.
News
Sahil Kapur|
April 19, 2018
Democrats are conflicted over the path back to power, caught between catering to a base that is seething with anger toward President Donald Trump and…
News
Janet Levaux
|
April 18, 2018
Meanwhile, LPL-affiliated Trilogy Financial taps a board member with marketing expertise
Commentary
Angie Herbers
|
April 18, 2018
This model will help your advisory group train young advisors, reduce costs and make your brand shine.
News
Allison Bell
|
April 18, 2018
The life insurer group's president says the same best interest standards should apply to all sales professionals.
News
Melanie Waddell
|
April 18, 2018
The proposal will go out for a 90-day comment period; Commissioner Kara Stein dissented.
News
Bernice Napach
|
April 18, 2018
The collaboration deepens a long-standing relationship and can benefit both organizations and their members.
News
Bernice Napach
|
April 18, 2018
Reports from Morningstar and GMO explain why investors and advisors should consider ESG factors when investing in emerging markets.
News
Emily Zulz
|
April 18, 2018
Aaron Schaben, 32, has an office nickname, "Baby Einstein," Ron Carson says.
News
Andrew Mayeda|
April 18, 2018
IMF expects growth will slow after the next two years as central banks tighten monetary policy.
News
Sonali Basak|
April 18, 2018
Morgan Stanley CEO says he doesn’t plan to boost ROE target; bank’s shares jump 2.4% after profit that topped estimates
Commentary
Daniel S. Kern|
April 18, 2018
Intuitive answers are convenient, but often provide an erroneous investment path.
Commentary
Jan Dubauskas|
April 18, 2018
An STM sales site general counsel says some consumers may prefer policies with leaner benefits — and lower premiums. And broader provider networks.
Michael Fischer
|
April 18, 2018
A majority of investors in Merrill's fund manager poll say equities won’t peak until the second half or later.
Analysis
James J. Green|
April 18, 2018
The advisor marketing firm’s strategy: create professional, affordable video for advisors to use.
News
Allison Bell
|
April 18, 2018
Any system Cognizant develops in India could serve as a model for similar systems in the United States and Europe.
News
Allison Bell
|
April 18, 2018
Tata Consultancy Services (TCS) — a company that will be administering many U.S. business lines for Transamerica — has set up a North America…
News
Michael Fischer
|
April 18, 2018
Quality of investment options is a key area of misalignment between sponsors and recordkeepers.
News
Lynnley Browning and Robert Lee|
April 18, 2018
The malfunctions included e-file and direct pay, which allow taxpayers to pay what they owe through their bank accounts,
Sahil Kapur|
April 17, 2018
A Democratic strategist says typical middle class voters may prefer protecting Medicare to keeping a little extra cash.
News
Yakob Peterseil and Cecile Gutscher|
April 17, 2018
Jerry Haworth says the system is much more leveraged now than it was in 2007.
Expert Opinion
Robert Bloink and William H. Byrnes|
April 17, 2018
Changes in the tax reform law can provide entirely new strategies for planning for all levels of education.
News
Bernice Napach
|
April 17, 2018
AG Eric Schneiderman wants major cryptocurrency platforms to provide disclosure about operations, internal controls and safeguards to protect customer assets.
News
Melanie Waddell
|
April 17, 2018
The Massachusetts regulator compared Scottrade’s argument to trying to fit a square peg in a round hole.
News
Allison Bell
|
April 17, 2018
The Insured Retirement Institute also found strange things happening at insurers' variable annuity units.
News
Lynnley Browning & Robert Lee|
April 17, 2018
An error message appears when users select the direct-pay option.
News
Michael Fischer
|
April 17, 2018
New report examines two types of impact investing vehicles
News
Melanie Waddell
|
April 17, 2018
Full House is scheduled to take up and debate Wednesday the 21st Century IRS Act.
News
Janet Levaux
|
April 17, 2018
The deal gives the RIA its first foothold in the Lone Star State and could put it at the $55 billion asset mark.
News
Allison Bell
|
April 17, 2018
Analysts have sifted LIMRA survey data to find out what closes sales.
News
Allison Bell
|
April 17, 2018
The company will, however, emphasize sales of health insurance outside the United States.
News
Suzanne Woolley|
April 17, 2018
Many women let husbands make the long-term financial decisions, leaving them vulnerable when separation or death strikes.
News
Joanna Ossinger|
April 17, 2018
Markets are “closer to the end of the day than the beginning,” Morgan Stanley says: It’s “Happy Hour in America.”
Commentary
Stephen Mihm|
April 17, 2018
The tax agency's embrace of IBM in the 1950s helped drive down audit rates. It's still depending on the same code.
News
Emily Zulz
|
April 17, 2018
More than 9 million new users have used Investor.gov since it launched in October 2009.
News
Allison Bell
|
April 17, 2018
New spots from Brighthouse, Lincoln and Symetra could get consumers more interested in the idea of talking to you.
News
Colby Hamilton|
April 17, 2018
The plaintiffs object to accidental disability and medical expense policies that were sold to credit card holders.
News
Allison Bell
|
April 16, 2018
Nationwide already uses independent distributors to distribute most of its life and annuity products.
News
Emily Zulz
|
April 16, 2018
FPA partnered with TrueProfile and Berkeley Executive Education to launch a multi-year focus on behavioral economics.
Bernice Napach
|
April 16, 2018
The percentage of workers employed and in new jobs has risen since November.
Commentary
Mark Travis|
April 16, 2018
There are several red flags to watch, but it's not all bad news for bond investors.
News
Bernice Napach
|
April 16, 2018
Candidates from financial services and technology, asset and wealth building and housing and mortgage finance are welcome.
News
Melanie Waddell
|
April 16, 2018
“We have received a number of questions” about the voluntary program, said Stephanie Avakian, co-director of the SEC's enforcement division.
Slideshow
Michael Fischer
|
April 16, 2018
Residents in the bottom-ranking state pay just over $3,000 per adult, MoneyRates.com reports.
News
Rich Miller & Jennifer Jacobs|
April 16, 2018
An economist and Columbia University professor, Clarida expected to bring pragmatic approach to Fed policy.
News
Laura J. Keller|
April 16, 2018
Net income jumps 30%, surpassing analysts’ estimates; lender posts best efficiency ratio in more than five years
News
Tom Metcalf|
April 16, 2018
Fink isn't as rich as his old boss Stephen Schwarzman but he oversees about $6 trillion more in assets.
News
Sabrina Willmer|
April 16, 2018
Net flows into its iShares exchange-traded funds fell 46% in the first quarter to $34.6 billion from a year earlier.
News
Allison Bell
|
April 16, 2018
The number of people with HSA-compatible individual coverage fell to the lowest level since 2006.
Expert Opinion
Robert Bloink and William H. Byrnes|
April 16, 2018
Here's a workaround for higher income clients who are technically barred by IRS income limits on Roth contributions.
Commentary
Michael Goldberg|
April 16, 2018
If going to events seems like a waste of time, maybe you're doing it wrong.
News
Emily Zulz
|
April 16, 2018
In other product news, Research Affiliates launched a new smart beta strategy.
Justin Fox|
April 16, 2018
The real problem, the author says, is not with Social Security, but with Medicare.
Zachary Tracer|
April 16, 2018
The future of CVS and Aetna could have something to do with the CVS MinuteClinics unit.
News
Samantha Joseph|
April 15, 2018
The plaintiffs were trying to recoup billions in payments under the Medicare Secondary Payer Act.
News
Michael Fischer
|
April 13, 2018
Among 947 self-directed active investors, bullish sentiment fell to 52%, down 16 percentage points from the first quarter.
News
Emily Zulz
|
April 13, 2018
The exam sweep covers member firms and advisors selling these products between October 2017 and February 2018.
News
Bernice Napach
|
April 13, 2018
Advise clients to start the conversation with their tax professional not too long after they've filed their 2017 taxes.
News
Kristen Rasmussen|
April 13, 2018
Prosecutors accused physicians of providing a free medical director for a surgery center to attract referrals.
News
Zeke Faux|
April 13, 2018
Record stock-trading revenue lifts investment bank division; quarterly profit jumps 35% as corporate tax cuts take hold.
News
Laura J. Keller|
April 13, 2018
CEO Sloan says ‘it will take time’ to overcome challenges; profit climbs 5.7% to $5.53 billion, topping expectations.
News
Allison Bell
|
April 13, 2018
The effect on single men isn't as pronounced, LIMRA finds.
News
MP McQueen|
April 13, 2018
The number of large payments from pharmaceutical manufacturers dropped.
Best Practices
Jeremy Nason|
April 13, 2018
A sales veteran talks about how marketing differs from calling everyone in a given area code till you're hoarse.
News
Lidia Dinkova|
April 13, 2018
Pavonia Holdings (US) Inc. is a life insurance company that was owned by Enstar.
News
Emily Zulz
|
April 13, 2018
The SEC announced that courts fined an investment advisor and his companies for defrauding clients.
News
Allison Bell
|
April 12, 2018
Dave Dillon is predicting that typical rate increases could be smaller than in 2018.
News
Allison Bell
|
April 12, 2018
The firm found that overall enrollment increased just 1.6%.
News
Adam Tempkin|
April 12, 2018
Some of the major users of CLOs are life insurers.
News
Emily Zulz
|
April 12, 2018
The fixed income tech platform's new services are specifically designed to level the playing field for indie advisors.
Slideshow
Emily Zulz
|
April 12, 2018
GoBankingRates looked at the annual expenditures for someone 65 or older and the cost of living for each city.
News
Bernice Napach
|
April 12, 2018
The four principles are designed to help protect the security of customer data accessed by third-party data aggregators.
Commentary
Ramesh Ponnuru|
April 12, 2018
We don't have to cut benefits from their current levels. We just have to stop, or at least moderate, their growth.
News
Michael Fischer
|
April 12, 2018
Large firms’ biggest challenge in 2018 is hiring and development of talent, Pershing found in a poll.
News
Melanie Waddell
|
April 12, 2018
An SEC Risk Alert lists the fee- and expense-related compliance failures the agency cites most frequently in deficiency letters.
News
Bernice Napach
|
April 12, 2018
The impact on homeowners in high-tax states depends on incomes, property taxes, home values and mortgage terms.
News
Allison Bell
|
April 12, 2018
The deal comes as the Trump administration is thinking of killing an Obama-era short-term medical regulation.
Conversation
Allison Bell
|
April 12, 2018
Sandeep Kharidhi says clients want ways to increase sales to current customers.
News
Bernice Napach
|
April 12, 2018
The plan has a new president whose priority is encouraging more colleges and universities to join.
News
Janet Levaux
|
April 12, 2018
Derek Bruton, who most recently worked for Oppenheimer, will become COO of Chalice Wealth Partners' broker-dealer and RIA.
Commentary
Angie Herbers
|
April 11, 2018
Both sides of a merger and acquisition must understand each other's goals.
News
Janet Levaux
|
April 11, 2018
Kestra picks up an ex-SII Investments team; Halite Partners has appointed Ric Butler as CFO and COO.
News
Melanie Waddell
|
April 11, 2018
The agency plans to consider a ‘rule to establish a standard of conduct for broker-dealers,’ according to a meeting notice.
News
Allison Bell
|
April 11, 2018
Insurers are getting closer to winning a battle that started after the Great Recession.
News
Allison Bell
|
April 11, 2018
A new report reveals planning gaps that are similar to the gaps IRI found for members of Generation X.
Resources
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The Tax Cuts and Jobs Act of 2017 ushered in the most comprehensive changes to the tax code we’ve seen in three decades -- learn how it can benefit you and the future of your practice.
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Don’t leave your clients and employees high and dry-- start planning for the future of your practice now.
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Tax Facts: Helping Financial Advisors and Planners Look Their Best When It Matters Most -- in Front of Clients
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Discover how to unlock the secrets of this growing demographic. By learning how wealthy women feel about the future, you can help play a key role in their financial decision-making.
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There’s a shift underway in the advice industry. Your clients’ financial lives are more complex. They’re demanding more transparency and value, and want to take an active role in the planning process.
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Comprehensive reporting on alternative investments as part of a larger portfolio does not have to be troublesome. Learn more about the biggest challenges and how to overcome them.
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The best way to win and keep affluent clients is to create a relationship that inspires loyalty. Use the data and tips contained in this white paper to grow your loyal customer base.
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Millennials are a key demographic that can drive growth, but only for advisors smart enough to adapt to their needs. Discover what Millennials look for when creating a plan for their finances.
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From American Portfolios
The tax reform bill passed at the end of 2017 means big changes. Learn the ins-and-outs from this comprehensive guide to help your clients navigate the changes.
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From American Portfolios
Build your practice focusing on managing risk and solving for the four common dreams shared by the affluent baby boomers.
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From American Portfolios
Learn about the challenges and benefits of Baby Boomers and Millennials working together. Find solutions on how these generations can come together to best serve clients as the industry evolves.
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From American Portfolios
ESG Investing is growing substantially as Millennial investors fuel demand for products. This guide outlines ESG history, portfolio opportunities and why ESG is positioned for massive growth.
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From American Portfolios
Solidify your cyber-strength with layered cybersecurity. Learn about password management systems and how combining them with two-factor authentication helps keep your online accounts safe.
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From American Portfolios
Having a succession plan and ensuring the continuity of business--not only for the advisor, but for the clients they are charged with protecting--is an integral aspect in business of any kind.
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From American Portfolios
As an investment professional, video marketing can be a very powerful tool that you can utilize to enhance your practice.
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From American Portfolios
Millennials are the future of your practice; both as clients and employees. Understand how they think to capture them as clients, attract them as employees and retain them as firm succession plans.
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From American Portfolios
Reviewing this paper and incorporating the steps included into your 2018 marketing plan will enable you to be effective and take advantage of the huge swells soon to come.
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From American Portfolios
Secure the future of your business with customers from the largest generation in history.
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From American Portfolios
Variable annuities are simplifying, bringing new opportunities to grow your business. Take a quick dive into recent product evolutions and how to identify the best clients to engage for conversation.
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From American Portfolios
Download this complimentary White Paper to learn the 7 key considerations that will transform your business.
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From American Portfolios
Consider the benefits of converting to a fee-based model, along with comparing it to a commission structure.
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From Orion Advisor Services
Learn how independent advisors are using new optimization technology to stay competitive and maintain premium pricing, while the industry trends towards discounting and commoditizing services.
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From Orion Advisor Services
In an increasingly competitive industry, advisors and independent broker dealers need to differentiate their firm. Learn how providing tax alpha at scale gives you a major competitive edge.
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From LPL Financial
A comprehensive handbook for attracting clients through digital marketing.
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