News
Emily Zulz
|
May 25, 2018
A Bud Genius co-founder falsely described Chong as a "partner," according the SEC.
Maria Wood |
May 24, 2018
John Graham has been helping life insurers with marketing since… forever. He’s learned some things.
Analysis
Steven A. Meyerowitz |
May 24, 2018
The court looked at what the job of an insurance broker really, legally, is.
News
William Clowes |
May 24, 2018
Three of the new suspected cases are in a river port city with 1.2 million inhabitants.
News
Robert Langreth |
May 24, 2018
Medicare officials want to see patients share some of the pain when costs increase.
Profile
Ronald Pechtimaldjian
|
May 24, 2018
ThinkAdvisor’s yearly compilation highlights the stories of 10 military veterans who also serve in the financial advisory industry.
News
Elise Young |
May 24, 2018
The state's attorney general threatened to sue the IRS if it disallows a state workaround on new caps for state and local tax deductions.
Bernice Napach
|
May 24, 2018
The number of 529 accounts also climbed sharply, according to the College Savings Plans Network.
Best Practices
Andrea McGrew |
May 24, 2018
States are developing their own cybersecurity regulations. Here's what advisory firms should know.
News
Michael Fischer
|
May 24, 2018
Companies with effective compliance programs are optimistic and innovative and are building a risk culture.
Instant Insights / Advisors Who Serve(d)
By Ronald Pechtimaldjian
| May 24, 2018
ThinkAdvisor’s yearly compilation highlights the stories of 10 military veterans who also serve in the financial advisory industry.
Browse Instant Insights →
Read More Stories →
Commentary
Nir Kaissar|
May 24, 2018
Big investors have already snatched up most of the goodies.
News
Bernice Napach
|
May 24, 2018
The GAO recommended that the Labor Department provide clearer guidance.
News
Allison Bell
|
May 24, 2018
A distribution veteran says selling this product takes a delicate touch.
News
Melanie Waddell
|
May 24, 2018
Changes would provide investors "with greater access to research to aid them in making investment decisions," said SEC chief Clayton.
News
Michael Fischer
|
May 24, 2018
On the whole, advisors are more optimistic about AI than their clients are, a survey finds.
News
Allison Bell
|
May 24, 2018
People with employment-based coverage get tax breaks with a value of $1,721 per year.
News
Emily Zulz
|
May 24, 2018
As part of the updates, advisors no longer need to advisors to manage several different billing applications.
News
Emily Zulz
|
May 24, 2018
Advisors' skills — both emotional and analytical — are going to be in high demand this year, Natixis says.
Best Practices
Bryce Sanders|
May 24, 2018
You can tell people almost anything, if you say it carefully.
News
Allison Bell
|
May 23, 2018
Richard Burr said he wants to avoid funding earmarked for any specific condition.
News
Janet Levaux
|
May 23, 2018
The advisors make their moves in Arizona, Michigan, Florida and Washington.
News
Allison Bell
|
May 23, 2018
The new figures hint at lingering softness in the benefits market.
News
Allison Bell
|
May 23, 2018
The Dallas-based company has been developing a web-based life insurance sales operation.
Commentary
Ric Lager
|
May 23, 2018
Technology and targeting can help advisors build their businesses at the local level
Commentary
Angie Herbers
|
May 23, 2018
When picking a new platform, you can hire a tech consultant or go it alone — either way, you'll still need to do some of your own research.
News
Ben Bain|
May 23, 2018
The rule bans banks from trading purely for their own benefit.
News
Janet Levaux
|
May 23, 2018
At least one industry watcher says the news indicates that we'll see more female leaders on Wall Street.
News
Bernice Napach
|
May 23, 2018
The agency's brief guidance also said it "intends to propose regulations" on the matter.
Commentary
Vinay Nair|
May 23, 2018
Capital gains taxes can lead to inertia when clients are hesitant to make beneficial long-term changes at a short-term cost.
News
Melanie Waddell
|
May 23, 2018
Opponents of the bill, expected to be signed soon, worry it could trigger another financial crisis.
News
Janet Levaux
|
May 23, 2018
DoubleLine's Bond King also described his bullish view on commodities during a webcast Tuesday
News
John Ainger|
May 23, 2018
AXA prefers Swiss and Japanese bonds.
News
William Clowes|
May 23, 2018
A nurse treating the deadly, contagious disease has died.
News
Melanie Waddell
|
May 23, 2018
The regulator looks at a number of factors to make an assessment, says head of member regulation Mike Rufino.
News
Allison Bell
|
May 23, 2018
The Dodd-Frank change package also includes an international insurance capital standards section.
News
Emily Zulz
|
May 23, 2018
UBS is the first wealth manager to partner with a diversity recruitment and career advancement platform like Jopwell.
Analysis
Ginger Szala
|
May 23, 2018
New studies show growing financial independence and declining poverty among widows. Here’s what advisors should know.
News
Elizabeth Dexheimer|
May 22, 2018
The bill, already approved by the Senate, will almost certainly be signed by the president who has railed against financial regulation.
Allison Bell
|
May 22, 2018
The number of uninsured adults in the 250%-400% of FPL income group climbed 25% in 2017.
Q&A
Jane Wollman Rusoff
|
May 22, 2018
Negotiation expert Raphael Lapin tells ThinkAdvisor how advisors can become better closers while improving client satisfaction.
News
Melanie Waddell
|
May 22, 2018
Brett Redfearn, director of the SEC’s Trading and Markets division, urged BDs to comment on the agency’s standard of conduct proposals.
News
Allison Bell
|
May 22, 2018
Sales of variable annuity separate accounts also rose.
News
Bernice Napach
|
May 22, 2018
Questions about the new tax law won't be included in the CFP test until the November exam.
Commentary
Peter Orszag|
May 22, 2018
For a significant period of time, price-relevant information about public companies is effectively hiding in plain sight.
News
Melanie Waddell
|
May 22, 2018
“The panel has considered the motion for reconsideration. It is ordered that the motion is denied.”
Slideshow
Maria Wood|
May 22, 2018
In these states, you may have an easier time turning life prospects into policyholders.
Bernice Napach
|
May 22, 2018
The strategies are even more popular in Europe than the U.S., a new FTSE Russell survey shows.
News
Emily Zulz
|
May 22, 2018
Janus Henderson's Global Dividend Study finds that payouts increased 10.2% for the first quarter.
News
James J. Green|
May 22, 2018
Financial.fit will take a gamification approach to educate plan participants, then give them the option of taking action.
News
Allison Bell
|
May 21, 2018
One index on the menu is Lincoln’s own Capital Strength Index.
Allison Bell
|
May 21, 2018
The company has also unveiled a new logo.
News
Allison Bell
|
May 21, 2018
Corporations may have to pay life insurers more to borrow money.
News
Sahil Kapur|
May 21, 2018
A New York House candidate backs legalizing pot and Medicare for all.
Commentary
Robin S. Weinberger and Peter N. Katz|
May 21, 2018
Some term life policyholders may have more options than they realize.
Cecile Gutscher|
May 21, 2018
The selloff in corporate credit is now on par with the rout in emerging markets.
News
Bernice Napach
|
May 21, 2018
Total World Bond ETF would be the first U.S.-based index ETF covering the entire global investment-grade bond universe.
Commentary
Stephen Gandel|
May 21, 2018
An ad campaign that says “trust us” isn’t very convincing when scandals keep emerging.
News
Allison Bell
|
May 21, 2018
MIB data helps power many of the new automated and accelerated underwriting projects.
News
Melanie Waddell
|
May 21, 2018
At FINRA conference, CEO Cook discussed the SEC rule and future exam changes.
News
Ginger Szala
|
May 21, 2018
The investment structure of 401(k)s is "terribly inefficient and ineffective and expensive," Ted Benna says.
Michael Goldberg|
May 21, 2018
To go farther on your journey, keep up the pace.
News
Melanie Waddell
|
May 21, 2018
NASAA said the sweep was one of the largest coordinated series of enforcement actions in North America on ICOs and related cryptocurrencies.
News
Michael Fischer
|
May 21, 2018
That's more than twice as much as the firm reported a year earlier.
Melanie Waddell
|
May 21, 2018
The departing senator pushes bank deregulation while Canadian and U.S. officials discuss the need for a modernized NAFTA.
News
Emily Zulz
|
May 21, 2018
In addition, J.P. Morgan expands access to alternative strategies with a partnership with iCapital Network.
News
Bernice Napach
|
May 21, 2018
All three investments, held to maturity, are now available with yields above 2% and little risk.
Conversation
Allison Bell
|
May 21, 2018
Annuities with high, stock-market-linked returns should be registered as securities, Anil Vazirani says.
Commentary
Barry Ritholtz|
May 21, 2018
Thinking outside the box probably is a mistake.
News
Katherine Chiglinsky, Romy Varghese and Brian Louis|
May 18, 2018
Prudential cut its muni holdings by 3%.
News
John Tozzi and Emma Ockerman|
May 18, 2018
For people with conditions like diabetes, gaps in coverage can be deadly.
Best Practices
James J. Green|
May 18, 2018
SmartAsset’s review of its lead gen service found the best advisors at closing new clients followed the same steps.
News
Bernice Napach
|
May 18, 2018
Sallie Mae's latest report on saving for college shows that families still favor general savings accounts above 529 savings plans.
News
Michael Fischer
|
May 18, 2018
Taxpayers are expected to pump $13 billion in tax savings into the housing market this year, Zillow reports.
News
Bernice Napach
|
May 18, 2018
The corporate bond index futures will function as a “tool to mitigate credit risk in the corporate bond market,” Cboe's president says.
Allison Bell
|
May 18, 2018
For high earners, pension benefits could fall to 6% of what was promised, from 50% today.
News
Ginger Szala
|
May 18, 2018
How will advisors meet the needs of younger investors in an ever-more-complex world?
News
Ginger Szala
|
May 18, 2018
Big data and machine learning are paving the way for new advisor apps that will help reduce friction with core services.
News
Emily Zulz
|
May 18, 2018
In another enforcement action, a broker representative and investment advisor were indicted for fraud.
Commentary
Nicolas Morgan|
May 18, 2018
The SEC hasn't yet declared that a specific token is not a security. The courts may beat it to the punch.
Slideshow
Maria Wood|
May 17, 2018
Adults with a househohold income over $50,000 are less likely to be obese — but plenty are obese.
News
Allison Bell
|
May 17, 2018
Before Neely worked at the White House, she was a top executive at HIAA.
News
Zachary Tracer|
May 17, 2018
Rising premiums have started to help insurers’ bottom lines.
News
William Clowes|
May 17, 2018
The Congolese city affected has a population of 1.2 million.
Ginger Szala
|
May 17, 2018
New solutions will reduce onboarding friction, add a voice component and provide enhanced security.
News
Emily Zulz
|
May 17, 2018
The documents were for internal purposes and no customers were harmed, according to a Wells Fargo spokesperson.
Suzanne Woolley|
May 17, 2018
Money isn’t the only key to fulfillment, but not having enough can cause a lot of stress.
News
Melanie Waddell
|
May 17, 2018
FINRA Board also filed with SEC proposed amendments to its TRACE rules to expand the definition of Agency Debt Security to address a new issuance structure by government-sponsored enterprises
News
Bernice Napach
|
May 17, 2018
Increasing mortgage, student loan and auto debt contributed to the record level, according to the New York Fed.
News
Michael Fischer
|
May 17, 2018
Lowering fees is an ineffective strategy for driving growth, PriceMetrix data finds.
News
Janet Levaux
|
May 17, 2018
Winners in different asset classes were recognized for their outpeformance and consistency.
News
Allison Bell
|
May 17, 2018
Global Atlantic got some survey results you might expect, and some that you might not expect.
Best Practices
Ginger Szala
|
May 17, 2018
Want to feel empowered? Sit straight and have “presence,” social psychologist Amy Cuddy tells Envestnet Summit RIAs.
News
Allison Bell
|
May 17, 2018
New survey results that suggest that the issue may be hotter than job security.
News
Allison Bell
|
May 17, 2018
One fluffy cloud is the future of Medicare Advantage chronic care benefits options.
News
Emily Zulz
|
May 17, 2018
To clear up some confusion, the asset manager is moving away from using the shorthand SSGA, effective immediately.
Expert Opinion
Robert Bloink and William H. Byrnes|
May 17, 2018
Tax planning strategies have already emerged to allow service business owners to reap the benefits of the 20% tax deduction for QBI.
News
Melanie Waddell
|
May 17, 2018
Attorneys general from three states cite lost tax revenue due to diminished retirement income as one reason for reconsideration.
Claude Thau|
May 16, 2018
One of the top players in the LTCI market looks, in-depth, at the controversy over rate increase notices.
News
Janet Levaux
|
May 16, 2018
Leaders of the firm visited 20 cities to meet with registered reps for the second year in a row.
News
Melanie Waddell
|
May 16, 2018
The bills would boost e-delivery and the use of annuities in retirement plans.
News
Emily Zulz
|
May 16, 2018
"Consumers are making strategic choices where they place their savings," Hearts & Wallets says.
Commentary
Angie Herbers
|
May 16, 2018
Inserting a dose of reality into your ideal business plans is healthy and can drive true success
News
Ginger Szala
|
May 16, 2018
The Envestnet chairman explains how advisors need to expand their definition of advice to achieve their clients’ goals.
News
Melanie Waddell
|
May 16, 2018
In a hearing, lawmakers hammered the SEC on ICO oversight and agency officials blasted a recent Supreme Court decision on disgorgement.
News
Allison Bell
|
May 16, 2018
Beam Dental uses the brush to collect data on enrollees' brushing habits.
News
Allison Bell
|
May 16, 2018
Most access cases reported to federal authorities took more than 50 days to resolve.
News
Michael Fischer
|
May 16, 2018
Cash remained high and expectations of global economic growth low in May.
News
Allison Bell
|
May 16, 2018
Term life may get the good press, but permanent life still has the buzz.
News
Bernice Napach
|
May 16, 2018
The Center for Retirement Research offers several proposals to modernize Social Security so it doesn't run out of funds and helps the most vulnerable.
News
James J. Green|
May 16, 2018
Startup finds success among advisors with its bond trading platform while helping advisors meet MSRB requirements.
Resources
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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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.
Download Resource ›
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.
Download Resource ›
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.
Download Resource ›
From American Portfolios
Build your practice focusing on managing risk and solving for the four common dreams shared by the affluent baby boomers.
Download Resource ›
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.
Download Resource ›
From American Portfolios
As an investment professional, video marketing can be a very powerful tool that you can utilize to enhance your practice.
Download Resource ›
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.
Download Resource ›
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.
Download Resource ›
From American Portfolios
Secure the future of your business with customers from the largest generation in history.
Download Resource ›
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.
Download Resource ›
From American Portfolios
Download this complimentary White Paper to learn the 7 key considerations that will transform your business.
Download Resource ›
From American Portfolios
Consider the benefits of converting to a fee-based model, along with comparing it to a commission structure.
Download Resource ›
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.
Download Resource ›
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.
Download Resource ›
From LPL Financial
A comprehensive handbook for attracting clients through digital marketing.
Download Resource ›
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