Investment News & Analysis for Financial Advisors | ThinkAdvisor

News

Who Uses Annuities, Who Doesn't?

Marlene Satter |September 25, 2018

Researchers aimed to find out, and the results weren't what they expected.
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.
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.

News

Envestnet | Yodlee Brings Alexa to Advisors

Ginger Szala | September 25, 2018

The new technology allows advisors to get customized business information through their mobile phone or Alexa-enabled devices.
News

Now Do-Gooders at Vanguard Charitable Can Do Better

Ginger Szala | September 25, 2018

Vanguard Charitable will offer three new ESG-oriented ETFs for donor-advised fund investors in October.
4 Ways Wellness Can Cost Annuity Clients a Fortune

Allison Bell | September 25, 2018

People who control their health risks need to plan for extra years of life.
News

FINRA's Top 5 Fine Categories in First Half of 2018

Melanie Waddell | September 25, 2018

Restitution is down significantly from 2017, according to Eversheds Sutherland’s midyear analysis of FINRA disciplinary actions.
News

United Income Launches Total Wealth Return Solution

Bernice Napach | September 25, 2018

The new solution simulates 81 different Social Security claiming strategies, among other functions.
News

DOL Rule Is Dead, but Clean Shares Will Live On: Cerulli

Melanie Waddell | September 25, 2018

Clean shares make mutual funds more competitive with ETFs, Cerulli says.
News

Trump's Deregulatory Push So Far Amounts to 'Inaction': SEC Counsel

Melanie Waddell | September 25, 2018

While the administration has “halted the growth of regulation that imposes costs,” so far few existing regs have been repealed, says Connor Raso.
Career Moves

LPL Nabs Team of 4 Women From Rival

Janet Levaux | September 25, 2018

The team specializes in tax issues, and many of their clients are women, including widows.
Trump Immigration Draft Leaves Out ACA Exchange Subsidies

Allison Bell | September 25, 2018

Mistakes in this area could get health insurance clients kicked out of the country.
News

SEI Advisor Network Gains New Identity

Emily Zulz | September 25, 2018

SEI also announced that Independent Advisor Solutions is continuing to migrate its clients to the SEI Wealth Platform.

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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
Successful Ways to Mentor the Millennials

From American Portfolios

Secure the future of your business with customers from the largest generation in history.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
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.

Download Resource ›
The Advisor's Guide to Digital Marketing

From LPL Financial

A comprehensive handbook for attracting clients through digital marketing.

Download Resource ›
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 →

ThinkAdvisor

Don’t miss crucial news and insights you need to make informed investment advisory decisions. Join ThinkAdvisor.com now!

Free unlimited access to ThinkAdvisor.com which provides advisors, like you, with comprehensive coverage of the products, services and trends necessary to guide your clients in making critical wealth, health and life decisions.
Exclusive discounts on ALM and ThinkAdvisor events.
Access to other award-winning ALM websites including TreasuryandRisk.com and Law.com.

Already have an account? Sign In Now

Copyright © 2018 ALM Media Properties, LLC. All Rights Reserved.