Investment Advisor-January 2018

Issue Gallery ›

  • How Big Advisory Firms Are Adding More Women

    Ginger Szala

    With women representing less than 20% of advisors and minorities just 10%, the industry has much room for improvement which some firms readily acknowledge and are working hard to address.

  • Won an Award? Brag With Caution

    Thomas D. Giachetti

    The SEC is scrutinizing advertisements tied to rankings, awards and other designations bestowed upon RIAs by third parties.

  • What Will You Spend on Technology in 2018?

    Dan Skiles

    Do you know how much you will spend on technology in 2018? It is a simple question, but often the specific dollar amount can be elusive for advisory firms. You probably know what you spent last year, and maybe that is your quick answer for 2018.

  • Being a Financial Advisor: It's Your Choice

    Stephen M. Horan

    Working in the investment-advice field is an exciting and potentially lucrative career; but do we really understand what the word 'professional' fully means?

  • The Ever-Evolving Financial Advisor

    Mark Elzweig

    Advisors are a nimble bunch, which means they can keep offering clients more broad-based services that meet their particular needs.

  • An Often-Missing Dimension

    Fran O'Brien

    Looking beyond clients financial needs and keeping them up to date on policies can help them avoid catastrophes.

  • Industry Icon Introduces Active ETFs

    Matt Schreiber

    The new Vanguard products appear to be smart-beta products; they overlay factors, such as value or minimum volatility, onto a passive index.

  • M&A Madness

    Melanie Waddell

    Merger and acquisition activity in the advisory space will continue to heat up, with experts in the field agreeing that industry consolidation is taking hold.

  • Adapting to the Millennial Disruption

    Angie Herbers, Alex Garcia

    While it's true that the independent advisory business is changing, there's nothing new about dramatic changes in our industry.

  • Developing Talent

    Mark Tibergien

    Many words have been written about the acute talent shortage in the financial-services industry for years. Yet, a 2016 study sponsored by BNY Mellon's Pershing found that for the first time, the number of employee advisors exceeded the number of owners in RIA firms. Further, the universities that confer financial...

  • Some Big Names Stay, Some Go: Broker Protocol

    Janet Levaux

    Wirehouses Morgan Stanley and UBS may have left the Protocol for Broker Recruiting, but Merrill Lynch says it is staying put. Meanwhile, Wells Fargo says it remains undecided about whether it will stay or go.

  • Regulatory Wrangling: The Year Ahead

    Melanie Waddell

    DOL fiduciary rule, having proper cybersecurity controls and adjusting to an updated exam program are some compliance chores facing the industry.

ThinkAdvisor Newsletters

Sign Up Today and Never Miss Another Story.

As part of your digital membership, you can sign up for an unlimited number of a wide range of complimentary newsletters. Visit your My Account page to make your selections. Get the timely legal news and critical analysis you cannot afford to miss. Tailored just for you. In your inbox. Every day.

Copyright © 2019 ALM Media Properties, LLC. All Rights Reserved.