Investment News & Analysis for Financial Advisors | ThinkAdvisor

Q&A

Why AUM Fees 'Poison' the Advisor-Client Relationship: Bert Whitehead

Jane Wollman Rusoff |September 24, 2018

The longtime advisor tells ThinkAdvisor about being "vindicated" by the DOL and why massage therapists make great referrers.
Slideshow

30 Life and Health Professionals Under 30: Part 2

Allison Bell |September 24, 2018

Here are 10 more of the people who will change everything.
News

$1.4B Goldman Advisor Starts Firm With Dynasty

Reade Pickert |September 24, 2018

Gary Hirschberg, 39, now leads Chicago-based Aaron Wealth Advisors.

News

Retirement Bill Would Limit 'Stretch' IRAs

Melanie Waddell | September 25, 2018

RESA, which could pass this year, would limit “stretches” to aggregate account values under $450,000, says Andy Friedman.
News

NASAA Seeks Comments on Cybersecurity Model Rule

Elizabeth Festa | September 24, 2018

NASAA proposed a model rule on information security that would encompass both cybersecurity and physical security.
News

CEOs: Trade Policy Is Hurting Business

Emily Zulz | September 24, 2018

This quarter’s Business Roundtable CEO Economic Outlook Survey included a question on the effect of U.S. trade policy on capital investment.
News

Association Health Plans Get a Boost From New Coalition

Marlene Satter | September 24, 2018

FSI says the plans would benefit advisors and small firms.
Best Practices

3 Rules to Move From Entrepreneur to Professional RIA

Ginger Szala | September 24, 2018

Billion-dollar RIAs provide their advice on how to graduate from the startup stage.
Commentary

New Tax Bill Offers Attractive Impact Investment Opportunity

David Aaron | September 24, 2018

Qualified Opportunity Zones provide a tax incentive to invest in low-income areas, but choose investments carefully.
News

ICI Sees a Big Flaw in SEC's Planned ETF Rule

Melanie Waddell | September 24, 2018

The lobbying group supports an SEC rule that would streamline ETF approval but calls for changes.
News

FINRA Files to Update CAB Rule

Melanie Waddell | September 24, 2018

This is the second rule amendment FINRA has issued to conform with FinCEN's customer due diligence requirements.
News

Why Wealthy People Give to Charity During Life, but Not So Often at Death

Michael Fischer | September 24, 2018

But wealthy people who do who leave charitable bequests tend to make huge gifts, Urban Institute finds.
News

Emerging Markets Facing Trade Reality Check

Netty Ismail, Lilian Karunungan and Aline Oyamada | September 24, 2018

'Pressure on EM will remain, as the U.S.-China trade tensions continue to simmer in the background, said one Singapore-based analyst.

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

The Art & Science of Scaling Your Business

From LPL Financial

Growing your business through personalization of the client experience sets you (and your clients) on the best path for the future.

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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

Download Resource ›

Browse More Resources →

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