Investment News & Analysis for Financial Advisors | ThinkAdvisor

Commentary

When Clients Push Back on Pricing: 5 Strategies for Advisors

Bryce Sanders |September 19, 2018

You bring value to your clients in many ways that don't ring the cash register, but sometimes they just want to talk fees.
News

SEC Plans Retail Investor Fraud Roundtable

Melanie Waddell |September 19, 2018

The discussion will focus on steps that can be taken to enhance ability of regulators and BDs to combat retail investor fraud.
News

Goals-Based Financial Planning Now Focus of Wealth Firms: Aite

James J. Green |September 18, 2018

Wealth management firms “need to create experiences rather than products” when it comes to financial planning, Aite Group says.

News

House Ways and Means Chair Presses IRS to Update Crypto Guidance

Melanie Waddell | September 20, 2018

Taxpayers need a better understanding of their obligations when it comes to virtual currencies, Rep. Kevin Brady wrote.
The 3 Rights of Life Settlement Prospecting

Robin S. Weinberger and Peter N. Katz | September 19, 2018

One type of policy to consider: a survivorship UL policy with only one of the insureds still living.
Career Moves

RBC Brings on $500M Commonwealth Team: Recruiting Roundup

Janet Levaux | September 19, 2018

LPL Financial, Kestra, Stifel and Ameriprise announce their latest hires and Larry Roth lands a board seat.
Commentary

How to Spark Excitement in Lifeless ESG ETFs

Eric Balchunas | September 19, 2018

For one thing, get rid of the acronym "ESG."
BofA to Sell $20B Alt Operations to iCapital

Katherine Chiglinsky | September 19, 2018

The sale will help Bank of America further simplify its operations.
Commentary

Lessons From a New Frontier in Client Service

Angie Herbers | September 19, 2018

There are more ways to create value in your businesses than attracting more assets and increasing revenues, as Facet Wealth's success shows.
News

Entrepreneurs Are at the Forefront of Philanthropy: Fidelity Charitable

Michael Fischer | September 19, 2018

Many business owners plan to donate some of the proceeds when they sell their firms, Fidelity Charitable finds.
News

BNY Mellon Launches New Fund Focused on Japan’s 'Womenomics' Initiative

Emily Zulz | September 19, 2018

The “Womenomics” initiative seeks to enhance economic growth in Japan through improved gender parity in the workforce.
News

What Policymakers Don't Get About Couples Who Retire Together

Marlene Satter | September 19, 2018

Spouses don’t always take into account — or do so accurately — their spouse’s preferences in deciding when to retire.
News

Fintech Firm Rolls Out New Cybersecurity Platform

Janet Levaux | September 19, 2018

Entreda aims to help broker-dealers, RIAs and advisors, nearly 75% of whom have been the target of a cyberattack.

Instant Insights / 2018 Broker-Dealers of the Year

2018 Broker-Dealers of the Year: The Private Club

By Janet Levaux By Ginger Szala |August 28, 2018

The Broker-Dealer of the Year winners discuss industry consolidation, competitive pressures, innovation and more.

Broker-Dealer Runners Up Talk Future Developments

12 Best & Worst Broker-Dealers: Q2 Earnings, 2018

5 Misconceptions About Working Within a Broker-Dealer

Browse Instant Insights → Read More Stories →

Resources

Top Considerations for Successful Client Succession Planning

From Edward Jones

In planning for the future of your practice, do everything you can to ensure a smooth transition for your clients.

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3 Factors in Finding Fixed Income Opportunities

From Cavanal Hill Funds

Find out how to help your clients best navigate investing in fixed income funds to boost their portfolios.

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5 Signs You're Using Outdated Advisor Tools

From Orion Advisor Services

Staying with the outdated technology tools you already have may seem easier, but the costs of being left behind could soon add up.

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From Prospect to Pipeline: Building Strong Relationships

From LPL Financial

Discover how showing your value through meaningful connections brings in prospects and strengthens bonds with clients.

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The Top 5 Challenges to Reporting on Alternative Investments

From Orion Advisor Services

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 Independent Advisor's Guide to Tax-Efficient Trading

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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How RIAs Can Un-Commoditize Investing through Portfolio Optimization

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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Transitioning Your Business: What You Need to Know

From LPL Financial

The decision to make a business move can be more difficult than the actual process, but it doesn’t have to be.

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The 3 Most Effective Strategies to Help Grow Your Practice's Value

From LPL Financial

Get an in-depth look at what top advisors do to manage their operations, strengthen their relationships, and lock in future value.

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The Advisor's Guide for Helping Clients Weather Market Volatility

From LPL Financial

Learn actionable strategies you can use to reassure and reinforce your value during uncertain times.

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Modifying Investor Behavior: How Advisors Can Protect Clients From Their Worst Instincts

From American Portfolios

Get three key strategies to help keep clients from harming their own financial futures.

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The RIA Roadmap: Your Essential Guide to Making the Transition

From Schwab Advisor Services

Are you ready to go independent? Thousands of advisors have made the transition. Learn how with this guide.

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4 Reasons the Demand for Advice is Booming

From LPL Financial

As regulations tighten, technology evolves and generations shift, more people look to financial advisors for guidance. Understand why and how you can capitalize on it.

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How to Maximize Your Value as a Financial Advisor and Business Owner Under the New Tax Law

From LPL Financial

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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Selling Your Practice: Determining the Value of Your Practice, Increasing its Value and Putting a Plan in Place

From American Portfolios

Don’t leave your clients and employees high and dry-- start planning for the future of your practice now.

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Tax Cuts and Jobs Act: Responding to an Altered Tax Landscape

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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SEC Escalates Need for Succession and Business Continuity Plans

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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Why Video Trumps Text

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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Millennials: Successfully Tapping into the Future of Your Practice

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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13 Tips to Keep Your Marketing Plan Afloat

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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Successful Ways to Mentor the Millennials

From American Portfolios

Secure the future of your business with customers from the largest generation in history.

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Activate Your Variable Annuity Business

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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Nine Reasons for Becoming a Fee-Based Advisor

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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Practicing What We Preach with a Business Plan

From American Portfolios

Download this complimentary White Paper to learn the 7 key considerations that will transform your business.

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Marketing to the Affluent Baby Boomer

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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A Perfect Union: Harmony Among Generations is the Best Approach

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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A Guide to Environmental, Social and Governance (ESG) Investing

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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Tips to Improve Your Cyber-Strength

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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The Advisor's Guide to Digital Marketing

From LPL Financial

A comprehensive handbook for attracting clients through digital marketing.

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Exploring Independence: An Overview of the Registered Investment Advisor Model

From Schwab Advisor Services

Why more advisors are choosing to become RIAs

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Browse More Resources →

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