Investment News & Analysis for Financial Advisors

Podcast

Human Capital: FrontLine Compliance's Lynch Details Regulatory Relief Due to Coronavirus

Melanie Waddell | March 20, 2020

In episode #11 of our podcast, Amy Lynch talks about SEC and FINRA regulatory relief as the coronavirus wreaks havoc.
Podcast

Human Capital: ARA's Wielobob Details DOL, IRS Secure Act To-Do List

Melanie Waddell | March 06, 2020

In episode #10 of our podcast, we talk with Allison Wielobob, general counsel at the American Retirement Association.
Podcast

Human Capital: Stradley Ronon's Gerstein Dissects State Fiduciary Rule Race

Melanie Waddell | February 21, 2020

In episode #9 of our Human Capital podcast, George Michael Gerstein tell us the latest on where the states’ fiduciary rules stand.
Podcast

Human Capital: Ed Slott Tackles Thorniest Secure Act Provisions

Melanie Waddell | February 07, 2020

In episode #8 of our Human Capital podcast, Slott jumps into the stretch IRA changes, and why the law sets up an “emergency estate planning revision.”
Podcast

Human Capital: ACA’s Di Florio on How Tech Is Crucial Tool in Regulators’ Arsenal

Melanie Waddell | January 24, 2020

In episode #7 of our Human Capital podcast, ThinkAdvisor talks with Carlo di Florio, global chief services officer for ACA Compliance Group.
Podcast

Human Capital: Brian Hamburger Details Critical Aspects of SEC's 2020 Exam Priorities

Melanie Waddell | January 10, 2020

In episode #6 of our Human Capital podcast, Brian Hamburger, CEO of MarketCounsel, digs into the SEC and other enforcement issues.
Podcast

Human Capital: Investor Advocate Barbara Roper Doesn't Mince Words on SEC Rules

Melanie Waddell | December 05, 2019

In Episode #5 of our Human Capital podcast, Roper tells what she thinks is wrong with Reg BI.
Podcast

Human Capital: Compliance Guru Todd Cipperman Breaks Down SEC’s New Ad Rule

Melanie Waddell | November 14, 2019

In Episode #4 of our podcast, we talk with Cipperman, a go-to expert on all things compliance-related for advisors.
Podcast

Human Capital: Norm Champ, Ex-SEC IM Director, Takes on Financial Literacy

Melanie Waddell | October 30, 2019

On Episode #3 of Human Capital podcast, Champ discusses the pending economic crisis, as well as the financial literacy crisis.
Podcast

Human Capital: Ric Edelman on Social Security Crisis, SEC’s Crypto Fail

Melanie Waddell | October 16, 2019

On Episode #2 of Human Capital’s podcast, Edelman discusses how he’s redoubling his efforts to help fix Social Security and what steps the SEC must do to tame cryptocurrency.
Podcast

Human Capital: CFP Board's Keller Gets Blunt on New Ethics Standards, Reg BI

Melanie Waddell | October 02, 2019

The Human Capital podcast brings you the latest on the people who are helping to shape the financial services regulatory landscape.
Podcast

Misbehavioral Finance: How Emotions Ruin Investing Outcomes

Ronald Pechtimaldjian | September 26, 2018

Dr. Ted Klontz, an associate professor at Creighton University and a financial savior of athletes and entertainers, like Wynnona Judd, explains the keys to keep investors from sabotaging their own wealth.
Podcast

Investing After Retirement: Hit the Gas or Hit the Brakes?

Ronald Pechtimaldjian | September 12, 2018

Marguerita Cheng, CEO of Blue Ocean Global Wealth, weighs in on retirement income vs. assets; buying annuities; Social Security; and the situational benefits of reverse mortgages--yes, reverse mortgages.
Podcast

Investing View From the Advisory Frontlines: A Talk With Advisors, Part II

Ronald Pechtimaldjian | September 05, 2018

In part 2 of this episode we talk with Charles Adi of Blueprint360.
Podcast

Investing View From the Advisory Frontlines: A Talk With Advisors, Part I

Ronald Pechtimaldjian | August 22, 2018

What are the challenges advisors face in their businesses, from investing to compliance, and what are the biggest challenges in their practices?
Podcast

Is the New Normal Now the Old Normal? Retooling Fixed Income Portfolios

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.
Podcast

What Keeps Advisors Up at Night in Global Mid-Cap Investing?

Ronald Pechtimaldjian | August 01, 2018

In this episode, we talk with Chuck Severson of Baird to search for sore points in the global economy that might make mid-cap investors flee for safe havens.
Podcast

Are Mid-Caps the Goldilocks of Investing?

Ronald Pechtimaldjian | July 24, 2018

These companies have enough risk to grow and enough heft to avoid meltdowns, but are there problems with mid-caps in this long bull market we're not seeing?