Commentary
John Thorp |
April 26, 2018
A vision benefits specialist talks about care that can protect your ability to read this website.
Research
Ginger Szala
|
April 26, 2018
What advisors and corporate marketing teams push may not be what clients and followers engage with most, a Hearsay study finds.
News
Bernice Napach
|
April 26, 2018
In an amended filing with the SEC the mutual fund rating agency and portfolio strategist discloses the nine funds that will become the Morningstar Funds Trust.
Commentary
Jeff Masom |
April 26, 2018
As our industry works to regain investors' trust, we need to help clients address their biggest priorities.
News
Janet Levaux
|
April 26, 2018
While the bank disclosed the review of retirement-plan issues in a regulatory filing, it did not name the specific agencies involved.
News
Emily Zulz
|
April 26, 2018
The firm plans to launch a no-transaction-fee mutual fund network.
News
Allison Bell
|
April 26, 2018
The IRS says it still has to write Section 6050Y rules, and give players time to comply with the rules.
News
Michael Fischer
|
April 26, 2018
Trade tariff threats and global politics cause uncertainty among members of the elite investing club.
News
Emily Zulz
|
April 26, 2018
Commissioner Hester Peirce asks if the '75 Amendments continue to be warranted in the 'very different markets that have developed over the intervening 43 years.'
Allison Bell
|
April 26, 2018
The company's shares will trade on the New York Stock Exchange under the symbol 'EQH.'
News
James J. Green|
April 26, 2018
Using NaviPlan ‘engine,’ Janney Montgomery Scott’s add-ons allow its 800 advisors to provide custom solutions to clients.
News
Allison Bell
|
April 26, 2018
Anyone involved in LTC planning should think about the outliers.
News
Janet Levaux
|
April 26, 2018
Meanwhile, an LPL affiliate, D.A. Davidson and First Republic pick up reps from Merrill; Kestra Financial, Ameriprise, Triad Advisors and others announce new recruits and hires.
News
Allison Bell
|
April 25, 2018
Spark's data security panel will team up with FS-ISAC's securities risk panel.
News
Sally Bakewell|
April 25, 2018
The company hopes to profit from making more loans to small and midsize companies.
Q&A
Jane Wollman Rusoff
|
April 25, 2018
The “Mary Tyler Moore” actor argues to ThinkAdvisor that Republicans give the framers too much anti-tax street cred.
News
Erik Schatzker|
April 25, 2018
‘It’s a wide moat and a big decision to make,’ Walt Bettinger says.
Commentary
Don Schreiber Jr.|
April 25, 2018
Investors can benefit from active strategies now — not just during a bear market.
News
Michael Fischer
|
April 25, 2018
Yet big asset managers want fintech firms to lead the way on new technologies, a survey shows.
Conversation
Allison Bell
|
April 25, 2018
The company will be using the web to connect with more financial professionals.
News
Melanie Waddell
|
April 25, 2018
State securities regulators hope the SEC will preserve the "investor protection gains" from the vacated Labor rule.
News
Emily Zulz
|
April 25, 2018
Diamond Consultants, a recruiting firm, lays out the biggest trends it sees going forward.
News
Bernice Napach
|
April 25, 2018
Many advisors can relate to the cobbler whose children have no shoes.
Ginger Szala
|
April 25, 2018
A non-profit is helping the financial services industry help itself advance its technology
News
Bernice Napach
|
April 25, 2018
BackEnd Benchmarking ranks the top performers in a volatile quarter.
John Pojeta|
April 24, 2018
To make a great light bulb, learn from the bad light bulbs.
David McLaughlin and Drew Armstrong|
April 24, 2018
The generic drug manufacturers also face a civil complaint filed by state attorneys general.
News
John Gittelsohn|
April 24, 2018
PIMCO, a unit of Allianz, will employ about 200 people in the new office.
News
Emily Chasan|
April 24, 2018
Labor's new guidance has left some investors scratching their heads.
News
Camila Russo|
April 24, 2018
Gary Gensler says some of the biggest cryptocurrencies could probably be classified as securities subject to regulation.
News
Melanie Waddell
|
April 24, 2018
FINRA CEO Robert Cook talks to ThinkAdvisor about how the sweeping regulatory initiative is coming along.
News
Michael Fischer
|
April 24, 2018
Wealthy Americans are less likely than wealthy investors elsewhere to expect to reach that milestone, UBS finds.
News
Janet Levaux
|
April 24, 2018
Barry Connell used clients' money to pay for a country club membership and private jets, the SEC says.
News
Allison Bell
|
April 24, 2018
The public exchange programs seem to be following in the footsteps of many private web-based insurance supermarkets.
Expert Opinion
Robert Bloink and William H. Byrnes|
April 24, 2018
Owners of service-oriented small businesses may find that the new tax law actually reduces taxable income for retirement plans.
News
Allison Bell
|
April 24, 2018
Ameriprise was the first major U.S. annuity issuer to talk about how the quarter looked to it.
News
Katherine Chiglinsky and Sonali Basak|
April 24, 2018
The firm sees much stronger insurer interest in private equity than in hedge funds.
News
Masaki Kondo|
April 24, 2018
Dai-Ichi Life is one of the carriers buying more unhedged U.S. bonds.
Commentary
Barry Ritholtz|
April 24, 2018
GE's employees took a catastrophic hit to their retirement savings. It could have been avoided.
News
Allison Bell
|
April 23, 2018
Firm analysts found loose limits on gains had a big effect on performance.
News
Greg Stohr|
April 23, 2018
The dispute could affect more than 100 cases currently at the SEC.
News
Brian Chappatta|
April 23, 2018
The last time the 10-year Treasury breached 3% was late 2013.
News
Bernice Napach
|
April 23, 2018
These strategies are among most popular for advisor clients and easily available on multiple platforms.
News
John Gittelsohn, Katia Porzecanski and Hema Parmar|
April 23, 2018
At the Sohn Conference, he also recommended an oil and gas ETF.
Commentary
Stephen Gandel|
April 23, 2018
While CEO Tim Sloan has said Wells Fargo's problems are over, it's not clear management actually believes that.
Q&A
Jane Wollman Rusoff
|
April 23, 2018
Psychotherapist Jonathan Alpert tells ThinkAdvisor that many young financial pros aren't coping well with stress and market volatility.
News
Martin Z. Braun|
April 23, 2018
The new disclosure applies only when a dealer buys and sells the same security in one day and not on bonds sold from its inventory.
News
Michael Fischer
|
April 23, 2018
The gender wealth gap between men and women at retirement age may be more than $1 million, Age Wave finds.
News
Patrick Winters & Jan-Henrik Foerster|
April 23, 2018
Misses in wealth and asset management eclipse investment bank gains.
News
Laurence Arnold|
April 23, 2018
Jenrette was chairman of Equitable when it sold a 49% stake to AXA.
News
Ben Brody and Anna Edney|
April 23, 2018
America’s Health Insurance Plans increased its spending to $2.28 million.
Market Insights
Bernice Napach
|
April 23, 2018
Mark Zandi of Moody's says some of these developments are a year or two away, but others have already occurred.
News
Emily Zulz
|
April 23, 2018
Vestwell Partners also introduced a new retirement platform and Harvest added a new hub for practice management.
Expert Opinion
Joe Elsasser and Ron Piccinini|
April 23, 2018
"Advisor" Joe Elsasser and "Quant" Ron Piccinini discuss the effects of the new tax law for investors.
Commentary
Bryan Kuderna|
April 20, 2018
There five reasons why no one should ever, ever even THINK of buying whole life. Right?
News
Allison Bell
|
April 20, 2018
The percentage of new claimants who are living at home is also falling.
News
Allison Bell
|
April 20, 2018
Retirety's automated advice system has found only a modest need for Medigap coverage.
News
Emily Zulz
|
April 20, 2018
The firm added 17 new partner firms in Q1; existing partner firms saw a big average uptick in assets.
Conversation
Allison Bell
|
April 20, 2018
Dhiren Jhaveri says he has a different strategy because he has a different type of investor.
News
Bernice Napach
|
April 20, 2018
States’ plans to offset new limits on SALT deductions raise issues for the IRS and local governments.
News
Allison Bell
|
April 20, 2018
No word on whether clients expect you to know how to bake a cake, or how to patch a flat.
News
Michael Fischer
|
April 20, 2018
Global industry assets fell by 1% in March, ETFGI reports.
News
Allison Bell
|
April 20, 2018
Michel worked at UNIFI and New York Life before branching out on his own.
Commentary
Nir Kaissar|
April 20, 2018
Proposed standards, stopping short of a fiduciary rule, let them keep charging fees.
News
Melanie Waddell
|
April 20, 2018
ERISA attorneys discuss whether Labor will appeal and say the SEC's broker conduct proposal seems "rushed."
News
Michael Ogden
|
April 20, 2018
Some obvious and not-so-obvious steps to take to stay secure on mobile devices.
News
Melanie Waddell
|
April 20, 2018
House Ways and Means Chair Brady lauds a "monumental step," hoping for Senate passage.
News
Emily Zulz
|
April 20, 2018
In other enforcement actions, LPL faces a FINRA fine and the SEC charges a businessman for stealing from a pension plan.
News
Laura J. Keller|
April 20, 2018
The settlement covers issues in Wells Fargo’s auto-lending and mortgage units.
News
Allison Bell
|
April 19, 2018
The company says it helps middle-income Americans prepare for retirement.
News
Allison Bell
|
April 19, 2018
The Bell Works site was once the home of a research center that helped give birth to modern technology.
Best Practices
Sharon Roth Maguire|
April 19, 2018
Some clients have to move from planning for long-term care to implementing the plan.
News
Emily Zulz
|
April 19, 2018
Under the new client experience system, firms no longer need to transition their client data to a new CRM.
News
Janet Levaux
|
April 19, 2018
Which firm had the best profits? The most advisors? The highest level of assets?
Q&A
Jane Wollman Rusoff
|
April 19, 2018
The co-anchor of the long-running, levelheaded "Nightly Business Report" tells ThinkAdvisor about her 37 years in financial media.
News
Melanie Waddell
|
April 19, 2018
Advocates for RIAs and consumers said the SEC didn't clearly define "best interest" in the 1,000-plus page proposal.
Analysis
James J. Green|
April 19, 2018
Suite of tools provides much-needed solutions for clients while helping advisors grow their business and justify their fees.
News
Janet Levaux
|
April 19, 2018
The deal should add some 900 advisors and about $23 billion in assets under administration to its base of 500 reps with some $30 billion
Bernice Napach
|
April 19, 2018
Breakaway activity also accelerated after several high-profile exits from the broker protocol.
Commentary
Ben Carlson|
April 19, 2018
In this market, dollar cost averaging provides a lower probability of large losses.
News
Michael Fischer
|
April 19, 2018
Year-over-year health care costs were relatively flat, Fidelity’s cost estimate shows.
News
Allison Bell
|
April 19, 2018
The company says it will use senior note financing to get itself in shape for a more independent existence.
News
Zachary Tracer and David McLaughlin|
April 19, 2018
A top official says 'vertical deals' require too much federal compliance monitoring.
News
Allison Bell
|
April 19, 2018
A witness told members of a new committee that 1 million people could soon face 90% benefits cuts.
Commentary
Aaron Brown|
April 19, 2018
Fund assets at some funds are too low for good returns to help much.
News
Sahil Kapur|
April 19, 2018
A Democratic strategist says many voters would rather have affordable health insurance than a modest tax cut.
News
Janet Levaux
|
April 18, 2018
Meanwhile, LPL-affiliated Trilogy Financial taps a board member with marketing expertise
Commentary
Angie Herbers
|
April 18, 2018
This model will help your advisory group train young advisors, reduce costs and make your brand shine.
News
Allison Bell
|
April 18, 2018
The life insurer group's president says the same best interest standards should apply to all sales professionals.
News
Melanie Waddell
|
April 18, 2018
The proposal will go out for a 90-day comment period; Commissioner Kara Stein dissented.
News
Bernice Napach
|
April 18, 2018
The collaboration deepens a long-standing relationship and can benefit both organizations and their members.
News
Bernice Napach
|
April 18, 2018
Reports from Morningstar and GMO explain why investors and advisors should consider ESG factors when investing in emerging markets.
News
Emily Zulz
|
April 18, 2018
Aaron Schaben, 32, has an office nickname, "Baby Einstein," Ron Carson says.
News
Andrew Mayeda|
April 18, 2018
IMF expects growth will slow after the next two years as central banks tighten monetary policy.
News
Sonali Basak|
April 18, 2018
Morgan Stanley CEO says he doesn’t plan to boost ROE target; bank’s shares jump 2.4% after profit that topped estimates
Commentary
Daniel S. Kern|
April 18, 2018
Intuitive answers are convenient, but often provide an erroneous investment path.
Commentary
Jan Dubauskas|
April 18, 2018
An STM sales site general counsel says some consumers may prefer policies with leaner benefits — and lower premiums. And broader provider networks.
Michael Fischer
|
April 18, 2018
A majority of investors in Merrill's fund manager poll say equities won’t peak until the second half or later.
Analysis
James J. Green|
April 18, 2018
The advisor marketing firm’s strategy: create professional, affordable video for advisors to use.
News
Allison Bell
|
April 18, 2018
Any system Cognizant develops in India could serve as a model for similar systems in the United States and Europe.
News
Allison Bell
|
April 18, 2018
Tata Consultancy Services (TCS) — a company that will be administering many U.S. business lines for Transamerica — has set up a North America…
News
Michael Fischer
|
April 18, 2018
Quality of investment options is a key area of misalignment between sponsors and recordkeepers.
News
Lynnley Browning and Robert Lee|
April 18, 2018
The malfunctions included e-file and direct pay, which allow taxpayers to pay what they owe through their bank accounts,
Sahil Kapur|
April 17, 2018
A Democratic strategist says typical middle class voters may prefer protecting Medicare to keeping a little extra cash.
News
Yakob Peterseil and Cecile Gutscher|
April 17, 2018
Jerry Haworth says the system is much more leveraged now than it was in 2007.
Expert Opinion
Robert Bloink and William H. Byrnes|
April 17, 2018
Changes in the tax reform law can provide entirely new strategies for planning for all levels of education.
News
Bernice Napach
|
April 17, 2018
AG Eric Schneiderman wants major cryptocurrency platforms to provide disclosure about operations, internal controls and safeguards to protect customer assets.
News
Melanie Waddell
|
April 17, 2018
The Massachusetts regulator compared Scottrade’s argument to trying to fit a square peg in a round hole.
Resources
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 Tax Facts and ThinkAdvisor
Tax Facts: Helping Financial Advisors and Planners Look Their Best When It Matters Most -- in Front of Clients
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From Cetera Financial Group
Discover how to unlock the secrets of this growing demographic. By learning how wealthy women feel about the future, you can help play a key role in their financial decision-making.
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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 Cetera Financial Group
The best way to win and keep affluent clients is to create a relationship that inspires loyalty. Use the data and tips contained in this white paper to grow your loyal customer base.
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From Cetera Financial Group
Millennials are a key demographic that can drive growth, but only for advisors smart enough to adapt to their needs. Discover what Millennials look for when creating a plan for their finances.
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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
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 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.
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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
Download this complimentary White Paper to learn the 7 key considerations that will transform your business.
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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 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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