News
Melanie Waddell
|
August 16, 2018
Judge Gorton blesses Galvin's plea, stating: "This Court lacks subject matter jurisdiction and plaintiff’s motion to remand will be allowed.”
News
Emily Zulz
|
August 16, 2018
The US SIF Foundation released a comprehensive guide to help asset managers get started in creating ESG-focused products and strategies.
News
Michael Fischer
|
August 16, 2018
TIAA survey of employers reveals what workers would choose for retirement: lump sum payout or lifetime income?
Emily Zulz
|
August 16, 2018
Also, a pyramid scheme promoter targeting Latinos agreed to pay more than $1 million to the SEC.
Commentary
Zach Parker |
August 16, 2018
Here are several ways that financial advisors can adapt to increasing client demands and regulatory developments tied to distribution.
News
Janet Levaux
|
August 15, 2018
Meanwhile, a duo of Wells Fargo advisors move to Ameriprise Financial in California with some $161 million in assets.
Allison Bell
|
August 15, 2018
The company expects to target middle-income multifamily borrowers, and owners upgrading industrial properties.
Allison Bell
|
August 15, 2018
Preliminary survey figures suggest that traditional fixed annuity products lost some ground.
News
Brian Chappatta |
August 15, 2018
Within the past few weeks the World Bank and Fannie Mae have issued floating rate notes tied to the U.S. Secured Overnight Financing Rate, or SOFR.
News
Michael Fischer
|
August 15, 2018
Women, people of color and those with lowest income particularly rely on Social Security.
Instant Insights / The Trouble(s) With Wells Fargo
By Janet Levaux
| July 30, 2018
As the bad news and advisor departures continue, experts debate Wells Fargo's future and what the wealth industry can learn from its scandals.
Browse Instant Insights →
Read More Stories →
News
Bernice Napach
|
August 15, 2018
They appear to favor lower fees more than the industry does.
Zachary Tracer|
August 15, 2018
The startup hopes to offer its first Medicare Advantage plans in 2020.
News
Emily Zulz
|
August 15, 2018
According to the SEC, five Ameriprise reps stole more than $1 million in retail client funds.
Allison Bell
|
August 15, 2018
The company already offers a chronic care rider, but it says it wants to let consumers choose which kind to use.
News
Melanie Waddell
|
August 15, 2018
New Professional Certification Coalition seeks to stem efforts to enact legislation designed to undermine certifications developed or offered by private certification organizations.
Allison Bell
|
August 15, 2018
A liability reporting standards update could push some life and annuity products off the shelves.
Podcast
Ronald Pechtimaldjian
|
August 15, 2018
Susan Mooney, CIO at Prio Wealth, helps determine if the "New Normal," which was touted after the Financial Crisis as a forever-era of low rates and slow growth, is no longer new or normal.
Michael Goldberg|
August 14, 2018
One key is to connect with your most important connections at least once per quarter.
Scott Deveau|
August 14, 2018
Two big shareholder advisory firms say they like the transaction.
Zachary Tracer and John Tozzi|
August 14, 2018
Groups are accusing the Trump administration of trying to rewrite the Medicaid Act.
News
Emily Zulz
|
August 14, 2018
Morningstar's research analysts assigned new ratings to six funds, as well as upgraded ratings for five funds and downgraded ratings for eight funds.
News
Melanie Waddell
|
August 14, 2018
The SEC alleges that “the flippers prevented true retail investors from receiving priority in municipal bond offerings.”
Allison Bell
|
August 14, 2018
The extension agreement calls for China Oceanwide to provide $1.5 billion in financing after the consummation.
News
Emily Zulz
|
August 14, 2018
The partnership gives all FSI financial advisor members a discount on an annual membership for the platform.
News
Bernice Napach
|
August 14, 2018
GMO's Ben Inker lays out his arguments for "the most attractive asset."
News
Bernice Napach
|
August 14, 2018
The agency also issued a Investor Alert to encourage investors to check the background of anyone selling them an investment.
Allison Bell
|
August 14, 2018
Commission spending fell slightly for individual annuities but rose for life insurance.
News
Michael Fischer
|
August 14, 2018
Investors, though, remain very worried about a trade war.
News
Allison Bell
|
August 14, 2018
The deal includes services for about 70,000 policies and about 8,000 active claims.
News
Allison Bell
|
August 14, 2018
Carriers expecting big payments see the move a blessing. An issuer facing a huge bill sees it as a problem.
News
Ginger Szala
|
August 14, 2018
The second insurance company to join the exchange will offer its full portfolio of annuities.
News
Jan-Henrik Förster and Patrick Winters|
August 14, 2018
The bank is said to be giving more autonomy to regions; announcement on split could come this week.
News
Melanie Waddell
|
August 14, 2018
The final Reg BI "should specifically identify broker/dealers’ responsibilities when recommending a rollover," said Morningstar policy director Szapiro.
Stephanie Shields|
August 13, 2018
The author talks about how new employers are trying to communicate the idea that they care.
Commentary
Noah Smith|
August 13, 2018
For your life and annuity prospects, the effects of 2008 are still with us.
News
Christopher Maloney|
August 13, 2018
Some mortgage investors are issuers of life insurance and annuities.
News
Melanie Waddell
|
August 13, 2018
“Clearly one of the potentially important product developments of the day would be some kind of crypto ETF,” Grim said.
Q&A
Jane Wollman Rusoff
|
August 13, 2018
Ted Benna tells ThinkAdvisor about the changes he would like to see made to the retirement plans he invented.
News
Emily Zulz
|
August 13, 2018
Fidelity’s Plan Sponsor Attitudes Study also finds areas where plan sponsors can work with advisors to boost retirement readiness.
News
Bernice Napach
|
August 13, 2018
Increased tariffs won't reduce the trade deficit but will slow growth, according to research from the New York Fed and Tax Foundation, respectively.
News
Michael Fischer
|
August 13, 2018
Many community foundations benefited from last year’s strong economy and stock market performance.
Profile
Emily Zulz
|
August 13, 2018
Longtime wirehouse advisor Tim Davis tells ThinkAdvisor what he thinks is the key to a successful transition to independence.
Allison Bell
|
August 13, 2018
The IRS is definitely leaning toward lumping actuaries together with actors, doctors and other fancy people.
News
Hannah Levitt|
August 13, 2018
Now the U.S. is probing the bank’s purchases of low-income housing credits.
Bernice Napach and Ginger Szala|
August 13, 2018
ThinkAdvisor editors tested these cost calculators to determine which are the best for helping your clients.
Commentary
Frank Paré, CFP|
August 13, 2018
FPA is urging Congress to make changes to the law, including to the rules for the new pass-through business deduction.
News
Michael Fischer
|
August 13, 2018
In particular, they're confused about good and bad debt, a Schwab survey finds.
News
Rita Nazareth, Ben Bartenstein and Giulia Morpurgo|
August 13, 2018
After comments from President Erdogan of Turkey, the rout in assets spilled over into other developing economies.
Expert Opinion
C. Thomas Howard|
August 13, 2018
Funds that consistently pursue a narrowly defined investment strategy while taking high-conviction positions outperform.
Career Moves
Bernice Napach
|
August 13, 2018
The firm's president and COO Katy Sherrerd assumes the role of CEO; Arnott remains as chairman.
News
The Bloomberg Staff|
August 13, 2018
Ping An would buy the Asian business from Prudential PLC of the United Kingdom.
News
Emily Zulz
|
August 13, 2018
Also, Vanguard plans to launch an actively managed global credit bond fund in November.
Commentary
Paul Mottola|
August 13, 2018
ETFs have transformed fixed income investing, but there are key differences between bond ETFs and high-quality corporate bonds.
News
Janet Levaux
|
August 13, 2018
Charlie Johnston will support the Raymond James indie affiliate, which has about $10 billion in assets and 100 advisors.
News
Bernice Napach
|
August 13, 2018
It popularizes the move to low-cost index funds, which helps firms like BlackRock and Vanguard, who could also match the move.
Commentary
Stephen Gandel|
August 12, 2018
Add low-income housing to the list of legal woes.
Commentary
David Mehlhorn|
August 12, 2018
Clearly defined processes don't care who performs them.
Commentary
Bryce Sanders|
August 12, 2018
Your spouse knows and understands what you do and what kind of clients you're looking for.
Susan Decker|
August 12, 2018
Insurance coverage for diabetes monitoring aids is helping to power the boom.
News
Allison Bell
|
August 10, 2018
Even for millennials, the company says, paid family leave beats help with repaying student loans.
John Pojeta|
August 10, 2018
Self-confidence can help. It can also hurt.
News
Liz Capo McCormick and John Gittelsohn|
August 10, 2018
Firms with the highest share of female portfolio managers are located thousands of miles from Manhattan.
Michael Fischer
|
August 10, 2018
The pace of new fund launches is surprising given depressed prices and regulatory scrutiny, a research firm says.
News
Bernice Napach
|
August 10, 2018
The agency wants to eliminate a rule that raised the standards for for-profit schools participating in federal aid programs.
Commentary
Shad Besikof|
August 10, 2018
The branding advantage wirehouse advisors once enjoyed has eroded due to a decade of scandals.
Allison Bell
|
August 10, 2018
Officials hope adding explanations to the program regulations will make $4.8 billion in 2018 payments flow smoothly.
Allan Checkoway|
August 10, 2018
There’s one little problem with your clients' LTC plans: LTC services providers are in decline.
News
Emily Zulz
|
August 09, 2018
The broker knew much of the money was earmarked for clients' retirement and college expenses, the SEC said.
News
Melanie Waddell
|
August 09, 2018
SEC’s advice proposals extend in “certain significant areas” the requirements for broker-dealers, Cook told senators.
Matthew Monks|
August 09, 2018
One concern is pressure from managers of index funds.
Zachary Tracer|
August 09, 2018
Seema Verma wants ACOs to accept risk, not just share in rewards for good performance.
Allison Bell
|
August 09, 2018
Have an unwanted LTCI block, and some cash? Philip Falcone's company might be interested.
News
Emily Zulz
|
August 09, 2018
Cerulli finds that this mindset is especially common among investors who are 60 and older and among affluent investors under 30.
Commentary
Barry Ritholtz|
August 09, 2018
Two professors make an interesting argument, but the theory of loss aversion isn’t dead yet.
News
Bernice Napach
|
August 09, 2018
The 2Q 2018 Robo Report takes stock of this changing and increasingly competitive space.
Craig Torres|
August 09, 2018
The Richmond Fed chief is a voter this year on the rate-setting FOMC.
Slideshow
Bernice Napach
|
August 09, 2018
The average aid package of these schools reduces the cost of college to the equivalent of full fare at a state institution.
News
Allison Bell
|
August 09, 2018
Gen Re has shown what's really going on in Medicare supplement
News
Melanie Waddell
|
August 09, 2018
Small BDs "struggle with keeping up with burdensome FINRA requirements," recruiter Jon Henschen said.
News
Ben Bain|
August 09, 2018
Regulator queries company on messages’ accuracy, according to a report; agency’s rules allow for announcements using social media.
News
C. Ryan Barber|
August 09, 2018
The case, previously unreported, already is teeing up novel legal issues.
News
Emily Zulz
|
August 09, 2018
Because according to a recent survey, some investors would opt to spend an hour stuck in traffic than spend that time rebalancing their portfolios.
Q&A
Jane Wollman Rusoff
|
August 09, 2018
Avoiding some common mistakes can help make advice “stick,” leading to happier clients, psychologist Moira Somers tells ThinkAdvisor.
News
Nick Thornton|
August 09, 2018
The corporate tax cut and a tighter labor market are translating to higher wages (finally).
News
Eric Lam|
August 09, 2018
Digital assets have lost about $600 billion since January peak; SEC's postponed decision on Bitcoin-backed ETF inspired the latest downturn.
News
Janet Levaux
|
August 09, 2018
Raymond James brings on a father-son team from Stifel with roughly $141 million.
Commentary
Angie Herbers
|
August 08, 2018
While using technology is helpful, advisors can succeed most by investing their time and talents in clients relationships.
News
Allison Bell
|
August 08, 2018
Activity was strongest for the oldest consumers and weakest for the youngest.
Peter R. Orszag|
August 08, 2018
Maybe the key to cutting costs is to make the physician a better shopper.
Natalie Wong and Katherine Chiglinsky|
August 08, 2018
Brent Simmons says insurers can already offer group annuities big enough to handle the transfers all at once.
Katherine Chiglinsky and Julie Verhage|
August 08, 2018
The firm will move into the annuity market, to avoid clashing with Haven Life.
Allison Bell
|
August 08, 2018
The NAIC has approved a Life Insurance Buyer's Guide update, and may create an online sibling.
News
Ginger Szala
|
August 08, 2018
Pushed to the side for the past 10 years, commodities may have once again found legs.
News
John Gittelsohn|
August 08, 2018
Redemptions and investment losses have pushed assets down to where they were soon after Gross took over fund management.
News
Melanie Waddell
|
August 08, 2018
The regulator is repeating mistakes the Labor Department made with its fiduciary rule, a BD group says.
News
Janet Levaux
|
August 08, 2018
Here's how the two biggest Wall Street firms are doing in terms of advisor headcount, production, assets and more.
Commentary
Richard Aubert|
August 08, 2018
The author sees a round of golf as a teaching tool for retirement planning.
News
Allison Bell
|
August 08, 2018
The commenters say the products are too complicated.
The commenters say the products are too complicated, without giving examples of actual problems.
Allison Bell
|
August 08, 2018
The Republican primary winner is a pharmacist; the Democrat has been a hospital services contract manager.
News
Lynnley Browning|
August 08, 2018
Treasury officials say the “crack and pack” technique is abusive.
News
Chris Dolmetsch|
August 08, 2018
Collins is the first sitting congressman charged with insider trading, the U.S. says.
News
Suzanne Woolley|
August 08, 2018
Attendees at next-gen functions hosted by the likes of UBS, Citi and Credit Suisse will one day be highly sought-after clients.
Commentary
Bryce Sanders|
August 08, 2018
With a little research, you can focus your prospecting efforts on the wealthiest 2%-5% of your market.
News
David McLaughlin and Robert Langreth|
August 07, 2018
‘Two people familiar with matter’ say it looks as if the coast is clear.
Slideshow
Melanie Waddell
|
August 07, 2018
Here's what Michael Kitces, Barbara Roper, Ken Fisher and others commented to the SEC about the proposal.
Profile
Bernice Napach
|
August 07, 2018
Gary Ward decided to become a CFP after giving financial guidance to his Special Forces troops.
News
Allison Bell
|
August 07, 2018
Some companies did great. Some did less great...
News
Janet Levaux
|
August 07, 2018
Dynasty Financial Partners and Advisor Growth Strategies uncover data that differ from conventional industry benchmarks.
Resources
From Schwab Charitable
Discover a way to deepen your relationships with clients by incorporating philanthropy.
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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 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 Orion Advisor Services
Learn a better way to master the constantly changing regulations and quickly adapt to changes.
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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 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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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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From Smarsh
The new generation of clients and employees want to communicate through text messaging. Learn how your firm can make changes to accommodate this preference.
Download Resource ›
From LPL Financial
Learn actionable strategies you can use to reassure and reinforce your value during uncertain times.
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From Smarsh
It’s easier to just close your eyes to the risks modern technologies can create, but you must not let your firm continue to follow risky routines.
Download Resource ›
From American Portfolios
Get three key strategies to help keep clients from harming their own financial futures.
Download Resource ›
From Schwab Advisor Services
Are you ready to go independent? Thousands of advisors have made the transition. Learn how with this guide.
Download Resource ›
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.
Download Resource ›
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.
Download Resource ›
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
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.
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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.
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
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.
Download Resource ›
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.
Download Resource ›
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.
Download Resource ›
From LPL Financial
A comprehensive handbook for attracting clients through digital marketing.
Download Resource ›
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