Given that I must disclose on my Form ADV that we accepted the aid, I had to ask myself difficult questions about possibly over-zealous regulatory scrutiny as well as my firm's reputation, this advisor writes.
May 15
Practice Management Resource Center
The most up-to-date practice management news, trends and resources for advisors
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April brought the highest unemployment since the Great Depression. Some of these people are our clients.May 10
President and founderEmpyrion Wealth Management -
“The world has become more digital, less global and more local,” says Amy Lo, co-head of the firm’s Asia Pacific wealth division.May 8
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In just two days, technology and remote staff helped ex-Wells Fargo FAs managing $281 million open client accounts at their new employer.May 8
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“This virtual program will fill a major a hole left by internship cancellations,” says FPA President Martin Seay.May 6
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As soon as the program was announced, I not only advised my small business clients to apply; I also tried to figure out how to take advantage of it myself.April 30
President and founderEmpyrion Wealth Management
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My broker-dealer warned that since it’s a forgivable loan it could be seen as a compromise with creditors.April 22
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Advisors — some inspired, some resistant — envision client contact in a post-coronavirus landscape.April 8
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As a longtime proponent of flat fees, I see a lot of pain ahead for firms that rely solely on assets under management.March 23
Director of PlanningLife Planning Partners
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Before you do anything else, make sure your practice is optimized for a remote-office situation. Are there compliance standards you need to meet?March 18
CEOThe Rudin Group
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First, prove you’re listening; then make sure they know you’re taking action to protect their portfolios.March 17
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You might consider an assistant, paraplanner or even another full-fledged advisor. I won’t debate the importance of these roles, but I would like to offer an alternative for your consideration.March 16
Chief Investment OfficerMomentum Advisors
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Almost 50% associate negative emotions with the practice. Here’s how planners can help.March 5
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This three-tiered model may help.March 4
Founder & Managing DirectorCruz Consulting Group
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When financial advisors consider both the hard-dollar and time investments required to land quality leads, everyone benefits.February 25
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We can all play a part in preparing for this and future outbreaks.February 25
Director of PlanningLife Planning Partners
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For many, the document is a significant source of confusion. Fortunately, one of the most persistent errors is easily correctable.February 24
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Two prominent female advisors are joining forces to target first-generation wealth builders.February 10
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Why do advisors focus so heavily on planning for a lifestyle change that may never happen?February 7
Director of PlanningLife Planning Partners
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Fear and worry are rampant. One client asked if any other client had recently returned from China.February 6
President and founderEmpyrion Wealth Management
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The takeaway for other firms: Be explicit, clear and public about seeking women employees and creating a safe workplace for them.January 29
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Best-in-class IT management and cybersecurity protection means RIAs must also focus on their base layer — the tech stack.January 29
CEORightSize Solutions
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For years, I helped clients make choices that improved their happiness and work-life balance. Why wasn't I doing the same for myself?January 24
Founder and plannerRetirement Matters
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With its appointment of Martine Lellis, one of the largest and most-acquisitive RIAs ups its leadership ranks to almost 40% women.January 21
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This rise of the so-called grey divorce has created a number of uncommon and complex issues for retirement accounts.January 14
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A succession strategy doesn't have to be set in stone, writes columnist Carolyn McClanahan.January 10
Director of PlanningLife Planning Partners
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Our industry is one of the few that’s barely experienced pricing pressure ... so far. Here's how to assure you keep providing value to clients.January 10
Chief Investment OfficerMomentum Advisors
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The Secure Act was designed to expand retirement savers’ options but it has subsequently all-but-eliminated the stretch IRA for beneficiaries. It's on advisors to make clients aware of the major change.January 7
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With astute maneuvering, advisors can add money to a clients’ college-fund kitty without jeopardizing financial aid.January 2
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Don't neglect the FAFSA and other ideas to help families with annual incomes of more than $300,000.December 30
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This recently passed bill is groundbreaking retirement legislation and will substantially alter the landscape for employer-sponsored retirement plans and individual savers.December 27
Retirement marketing program managerCommonwealth Financial Network
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There's a way to offer sound counsel to clients and also permit them the opportunity to take a profitable flier from time to time.December 12
President and founderEmpyrion Wealth Management
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Do planners offer enough value to keep tech companies and automated advice at bay?December 1
Director of PlanningLife Planning Partners
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I helped others plan ahead but it took a personal tragedy to put my own succession plan in place.November 25
The latest roundup of news in the IBD and RIA channels comes in a time of economic turmoil and big transactions.
August 14
The latest roundup of 32 IBD affiliation moves, M&A deals and expert studies reveals the mixed impact of the coronavirus.
July 24
The COVID-19 pandemic has infected the service’s annual list of top tax scams.
July 20