Page 6 - Investment Advisor April 2021

Departments VOL. XLI NO. 4
APRIL 2021

1 | ThinkAdvisor.com 47 | Advertiser's Index “The SEC’s final rule on RIA
8 | Editor's Note 47 | Classifieds advertising and marketing
has a May 4 effective date.
RIAs have 18 months to come
into compliance with the
new rule.” —Melanie Waddell

Columns

The Playing Field

Beginnings 37 | Legislative, Regulatory
Maneuvers in Play
Washington Watch RIA Lessons & Leaders By Melanie Waddell
New leaders, along with new regulations
10 | Will Elizabeth Warren’s 22 | Creative Planning CEO: and exam priorities, give advisors and
Wealth Tax See the Light of Day? Biden’s Capital Gains Tax Plan broker-dealers a lot to review.
Could Kill Model Portfolios
Industry Insights
Women in Wealth The Fast Track
12 | The Curious Plight of the
Independent Broker-Dealer 24 | Samantha Russell: How to 39 | 4 Problems With Advisor
Leverage SEC’s ‘Game-Changing’ Marketing (and How to Fix Them)
ETF Advisor New Ad Rule By Angie Herbers
Consistency is key, and so is
14 | Goldman Unleashes Digital understanding how to reach new and
Investment Platform for the Masses developing clients.

ESG Horizons
16 | New Index Rates Companies
on Racial Justice Criteria
Broker-Dealer Beat
Alternative Investments
43 | LPL’s Kalbaugh Explains Why
17 | Why Investors Seeking Growth Nice Guys Finish First
Must Look Beyond Public Equities
Wealth & Risk
Tax Time 46 | How Advisory Firms Can Avoid

18 | The Do’s and Don’ts of Conclusions Discrimination and Retaliation
Partnering With CPAs Claims
Retirement Planning
Portfolio Perspectives Compliance Coach
41 | Joe Duran: 9 Ways to Help
20 | Warren Buffett’s 9 Nuggets of Your Clients Live Richly Instead of 48 | How to Prepare Your Firm for
Wisdom for Investors: 2021 Dying Rich an Acquisition

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4 INVESTMENT ADVISOR APRIL 2021 | ThinkAdvisor.com