News
Bernice Napach
|
June 22, 2018
Craig Phillips told a SIFMA conference that this new approach would permit "experimentation for services and processes.”
News
Emily Zulz
|
June 22, 2018
In other enforcement actions, the CFTC ordered JPMorgan Chase Bank to pay a $65 million penalty.
News
Melanie Waddell
|
June 21, 2018
House lawmakers questioned Clayton about the SEC's proposed best-interest rules.
News
Janet Levaux
|
June 21, 2018
The move means that the independent broker-dealer, which is part of Advisor Group, could double its size.
News
Emily Zulz
|
June 21, 2018
More than half of Ariel's staff are women, and minorities are better represented than in most of the rest of the industry.
News
Bernice Napach
|
June 21, 2018
A new report from The Senior Citizens League shows how the COLA has failed to keep up with rising expenditures.
News
James J. Green |
June 21, 2018
Co-op cleverDome’s deal with 3PAS provides secure guidance in choosing an external vendor.
News
Rachel Evans |
June 21, 2018
The rule would let asset managers sell certain ETFs without first getting SEC approval under the Investment Company Act of 1940.
Commentary
Mark Buchanan |
June 21, 2018
There are better ways to measure well-being than old-style economic models focused on maximizing consumption.
News
Toluse Olorunnipa |
June 21, 2018
OMB Director Mick Mulvaney supports the plan, which also calls for moving food stamps and possibly privatizing the Postal Service.
Instant Insights / Asset Manager Awards: 2018
By Ginger Szala
| April 29, 2018
This year’s award winners will be announced and honored in May at the Envestnet Advisor Summit; winners also will be profiled in the July issue of Investment Advisor.
Browse Instant Insights →
Read More Stories →
News
Allison Bell
|
June 21, 2018
Carriers are looking for ways to make themselves more efficient, and enrollees healthier.
News
Allison Bell
|
June 21, 2018
Barry Stowe, the unit's CEO, says the industry needs to work together to improve Americans' retirement financial security.
Allison Bell
|
June 21, 2018
National Guardian Life now has LTC Partnership program approvals in 13 states.
News
Melanie Waddell
|
June 21, 2018
The SEC is seeking to shore up its performance with new hires.
News
Tony Mauro|
June 21, 2018
But the court does not address DOJ's request about the power of the president to fire officers of the United States.
News
Janet Levaux
|
June 20, 2018
Meanwhile, more reps leave Wells Fargo for rival broker-dealers; LPL Financial and Commonwealth share their latest recruiting news.
News
Michael Fischer
|
June 20, 2018
Capgemini studied wealthy clients and found that their needs go far beyond investment performance.
Commentary
Barry Ritholtz|
June 20, 2018
Falling stock prices seem to precipitate a broad range of physical and psychological problems. The best medicine: a little perspective.
News
Emily Zulz
|
June 20, 2018
“This community is large. It's growing. It has money.”
Market Insights
Bernice Napach
|
June 20, 2018
The current quarter may be as good as it gets, market watchers say, discussing how portfolios should be positioned.
News
Emily Zulz
|
June 20, 2018
The scheme involved buying or taking over books of business of retiring investment professionals from around the country.
News
Allison Bell
|
June 20, 2018
Atul Gawande, a surgeon, will face some of the headwinds blowing at Trump's association plans.
Expert Opinion
Robert Bloink and William H. Byrnes|
June 20, 2018
The 2017 tax reform legislation expanded the child tax credit so that the credit is no longer limited, as historically has been the case, to lower income taxpayers.
News
Allison Bell
|
June 20, 2018
A bill calling for tech changes, H.R. 5773, passed in the House Wednesday by a voice vote.
News
Allison Bell
|
June 20, 2018
Commissions and other distribution-related payments increased 4.1%, year-over-year.
News
Bernice Napach
|
June 20, 2018
But there are ways to offset the loss, the AEI report notes.
News
Melanie Waddell
|
June 20, 2018
The firm hopes to attract more clients at a time when donors are looking to "bunch" donations for tax reasons.
News
Melanie Waddell
|
June 19, 2018
The budget also invokes parts of the Financial Choice Act.
News
Emily Zulz
|
June 19, 2018
In a survey, client-facing professionals complained of a lack of support and limited autonomy, though most were satisfied with their jobs.
News
Ginger Szala
|
June 19, 2018
The legendary trader says society will have to rethink the definition of capitalism and changes will have to come through business.
News
Jesse Westbrook|
June 19, 2018
From 2008 to 2013, the Bank of America unit hid that the fact that client requests to buy and sell stocks were being handled by proprietary trading firms and other outside entities.
News
Erik Wasson|
June 19, 2018
The proposal fast-tracks at least $302 billion in spending cuts over 10 years, including repeal of the Affordable Care Act.
News
Allison Bell
|
June 19, 2018
MHPAEA mental health parity rules will apply. ACA benefits package rules won't.
News
Melanie Waddell
|
June 19, 2018
Treasury's OFR, created by former President Obama, faces potential budget and staffing cuts under President Trump.
News
Allison Bell
|
June 19, 2018
Private-pay patients of all kinds pay only about 19% more for skilled care than Medicaid patients do.
Ginger Szala
|
June 19, 2018
Tech magazine Computerworld ranks Commonwealth Financial the fifth best place to work for IT professionals.
Commentary
Scott Harris|
June 19, 2018
Surveys show that older Americans are also learning about the value of the 'sharing economy.'
Commentary
Brian Chappatta|
June 19, 2018
Managers of the huge retirement funds appear to be in the midst of a big shift into bonds.
News
Melanie Waddell
|
June 19, 2018
CFFM offers four flagship products that are widely used among financial advisors.
News
Allison Bell
|
June 18, 2018
Florida awarded Molina two Medicaid contracts. New York approved a Centene acquisition.
News
Allison Bell
|
June 18, 2018
Sequoia Re's CEO has been head of health at PartnerRe.
News
Janet Levaux
|
June 18, 2018
The wealth group is "reimagining" its business to boost efficiency, a spokesperson said.
News
Bernice Napach
|
June 18, 2018
Chairman Jay Clayton says that brokers should create a culture that doesn't accept lying — even when the law allows it.
Slideshow
Michael Fischer
|
June 18, 2018
High unemployment, poverty and foreclosure rates undermine these states’ performance.
Commentary
Barry Ritholtz|
June 18, 2018
Yes, prices are rising faster, but all signs suggest it won’t amount to much.
Analysis
Janet Levaux
|
June 18, 2018
The independent broker-dealer's move is being hotly debated by industry players and observers.
News
Michael Fischer
|
June 18, 2018
Direct investments are "upending traditional approaches to portfolio construction," says Family Office Exchange.
News
Melanie Waddell
|
June 18, 2018
While on three-month suspension, Miami broker "never stopped his association" with the broker-dealer and with continued soliciting customers, FINRA hearing panel found.
News
Allison Bell
|
June 18, 2018
Ken Burdick of WellCare is on track to be the chair of the health insurer group in 2020.
News
Emily Zulz
|
June 18, 2018
Meanwhile, TCA by E-Trade added capabilities for RIAs.
News
Charles Stein|
June 18, 2018
In addition to cutting fees on target date funds, Fidelity is adding long-term Treasuries and TIPS as investment options.
News
Bernice Napach
|
June 18, 2018
ESG investing, by nature, forces investors to think about the long term.
News
Charles Toutant|
June 15, 2018
The case involves life insurance policies from John Hancock and Lincoln National.
News
Sally Bakewell and Lisa Lee|
June 15, 2018
One of the companies getting large amounts of debt financing is Vertafore.
Commentary
Deep Banerjee|
June 15, 2018
An S&P Global analysts talks about how he sees the life sector gameboard.
Analysis
Mike Patton
|
June 15, 2018
Part II of this series examines the duration and severity of each recession, the change in unemployment, and consider when the next recession may occur.
News
Bernice Napach
|
June 15, 2018
Firms are “dancing on the grave” of the rolled-back fiduciary regulation, HighTower CEO Elliot Weissbluth says.
News
Ginger Szala
|
June 15, 2018
A study commissioned by OppenheimerFunds looked at how generations view investments and advisors, and the findings were surprising.
News
Michael Fischer
|
June 15, 2018
A big gender gap exists in Social Security wealth because of married women’s retirement decisions, an NBER study found.
News
Erik Larson|
June 15, 2018
This is the latest development in probes by governments around the globe into banks’ manipulation of benchmark interest rates.
News
Caroline Marwitz|
June 15, 2018
The Center for Retirement Research explores the far-reaching financial consequences of ending a marriage.
Emily Zulz
|
June 15, 2018
In other enforcement actions, the CFTC halts a $5.5 million precious metals fraud.
News
Melanie Waddell
|
June 15, 2018
DOJ lets last deadline to save the fiduciary rule pass; industry officials debate likelihood of SEC "uniform fiduciary" rule.
Janet Levaux
|
June 15, 2018
The move by the independent broker-dealer is earning it varied reviews by industry insiders Michael Kitces and Tim Welsh.
News
Allison Bell
|
June 14, 2018
The list of founding organizations includes many major annuity issuers.
News
Allison Bell
|
June 14, 2018
A professional maze runner reveals some of what he knows about the twists and the turns.
Best Practices
John Pojeta|
June 14, 2018
How you leave a client meeting says a great deal about you.
News
Ginger Szala
|
June 14, 2018
The retirement landscape garners scary headlines, but 72% of mass affluent Americans would be well-prepared if they took these steps, Morningstar's Wendel says.
Commentary
Max Nisen|
June 14, 2018
The AT&T puts many potential corporate relationships in a flattering new light.
News
Anna Edney and Steven T. Dennis|
June 14, 2018
The Senate majority leader said he supports some of the core health law benefits rules.
News
Julie Verhage|
June 14, 2018
The Iron Man actor-backed company is using Assurity Life as the underwriter and Munich Re as the reinsurer.
Slideshow
Michael Fischer
|
June 14, 2018
WalletHub rated the states based on economic activity, economic health and innovation potential.
News
Ben Bain|
June 14, 2018
Statement eases concerns that regulators would crack down; digital currency rises as much as 10 percent on announcement.
News
Michael Fischer
|
June 14, 2018
High minimums, illiquidity and finding appropriate clients persist as impediments to investment.
News
Janet Levaux
|
June 14, 2018
The broker-dealer’s platform was built by Entreda and works across desktops, laptops, smartphones and other devices.
News
Allison Bell
|
June 14, 2018
Doug Ommen says California has adopted the same accounting framework laws that he applied to a company's captives.
News
Emily Zulz
|
June 14, 2018
Morningstar research finds that TDFs have proved remarkably consistent at producing good results for investors.
News
Melanie Waddell
|
June 14, 2018
The SEC lists signs that a broker may be running a side business offering investments that are not approved for sale.
News
Allison Bell
|
June 14, 2018
Two judges say insurers had no contract with the ACA risk corridors program. The dissenter says the ruling is unfair.
News
Melanie Waddell
|
June 14, 2018
FINRA's new WebCRD interface is designed “to give more immediate responses to firms about potential red flags in their submissions.”
News
Bernice Napach
|
June 14, 2018
At Pershing Insite, Winterberg and other tech experts discussed some service-boosting technologies and how to integrate them.
News
Melanie Waddell
|
June 14, 2018
Completing all five certificates will give CPAs another path to earning the Personal Financial Specialist credential.
News
Janet Levaux
|
June 14, 2018
Meanwhile, Kestra adds a team from UBS, and Lightyear-based Wealth Enhancement Group buys Cimino Wealth Advisors.
Commentary
Angie Herbers
|
June 13, 2018
Your decisions define your firm’s success, so it's worthwhile to give them the right consideration before taking action.
Commentary
Sally Poblete|
June 13, 2018
Some Millennials are the workers. Some are the boss.
News
Allison Bell
|
June 13, 2018
About half of the consumers with advisors said they would talk to the advisors before changing their portfolios.
News
Allison Bell
|
June 13, 2018
One goal is 'Cadillac plan tax' repeal. Another is protecting the current group health tax advantages.
News
Melanie Waddell
|
June 13, 2018
SEC chief responded to questions at agency’s first town hall, held in Atlanta.
News
Bernice Napach
|
June 13, 2018
The more aggressive projection reflects a more bullish economic outlook from the Fed.
News
Michael Fischer
|
June 13, 2018
U.S. equity allocations rose 16 percentage points; meanwhile, investors see possible trade war as the biggest tail risk to markets.
News
Janet Levaux
|
June 13, 2018
Other states likely will make similar announcements regarding the return of money to investors as part of a nationwide agreement.
News
Melanie Waddell
|
June 13, 2018
CEO Nagengast and Shelley O’Connor, co-head of Morgan Stanley Wealth Management, are running to fill the large firm governor’s seat.
News
Emily Zulz
|
June 13, 2018
The Nobel-winning behavioral economist discusses how to build portfolios that clients will stick with when times get tough.
News
Ginger Szala
|
June 13, 2018
“When millennials think investing, they think ETFs,” Kari Droller of Schwab says.
News
Ginger Szala
|
June 13, 2018
Jeremy Grantham had a sobering warning for Morningstar conference attendees.
News
John Gittelsohn|
June 13, 2018
A recession is possible by 2020, the Bond King says, and that could make the next presidential election “a wild ride.”
News
Melissa Karsh and Emily Chasan|
June 13, 2018
Assets in ESG funds tracked by Bloomberg stood at $445 billion in 2017, but less than 10% of 401(k) plans now offer such choices, according to Natixis Investment Managers.
News
Ginger Szala
|
June 13, 2018
Recent Labor guidance muddies the waters for ERISA plans, but ESG is hitting the mainstream, Morningstar's Jon Hale says.
News
Bernice Napach
|
June 13, 2018
Advisors planning to retire have several important choices to make if they want to cash out and have their business continue.
Expert Opinion
Joe Elsasser and Ron Piccinini|
June 12, 2018
"Advisor" Joe Elsasser and "Quant" Ron Piccinini discuss ESG investing's rise and whether it makes sense financially.
News
Anna Edney|
June 12, 2018
Plans might be able to pay manufacturers fees tied to how well drugs work.
News
John Tozzi|
June 12, 2018
Jon Tester wants to roll back the special status of the air ambulance services providers.
News
Allison Bell
|
June 12, 2018
Officials at the EBSA division say they hope to get assets to about 20,000 participants.
News
Allison Bell
|
June 12, 2018
Officials say the companies have done too little to help policyholders hurt by a system-migration-related billing freeze.
News
Ellis Kim|
June 12, 2018
Read the court decision that's making Aetna and Cigna's share price go up here.
News
Annie Massa|
June 12, 2018
Morgan Stanley and UBS wealth units among those who’ve signed on; top pension funds, insurers and rivals already use the software.
News
Jeanna Smialek|
June 12, 2018
What to look for in Wednesday's Fed policy statement and projections and Chairman Jerome Powell's press conference.
News
Michael Fischer
|
June 12, 2018
Impact investments among Fidelity donor-advised fund holders have more than doubled in the past year, the firm says.
News
Melanie Waddell
|
June 12, 2018
Merrill misled customers into overpaying for residential mortgage-backed securities, the SEC says.
Resources
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From Black Diamond® Wealth Platform
Explore critical strategies to use in preparation for the biggest generational wealth transfer in history.
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From SEI
How much do you love asking for referrals? There are other ways to get referrals--in fact, nine that we’ll share with you. And one important step is to know just how referable you are.
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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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From Orion Advisor Services
Learn a better way to master the constantly changing regulations and quickly adapt to changes.
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From INVESTMENTS & WEALTH INSTITUTE
Discover how to increase production and unlock your capacity for peak performance using Neuroscience findings and insights from top advisors around the world.
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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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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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From SEI
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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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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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
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
Consider the benefits of converting to a fee-based model, along with comparing it to a commission structure.
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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
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 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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