Wealth Think

While half of U.S. banks are aware of the opportunity with mass affluent investors and are busy enhancing their online capabilities, the other half believe they distinguish themselves from the Charles Schwabs of the world with in-person advice.

The current SEC inspection and audit process is kind of silly, at best, and a waste of resources, at worst. FINRA's process, from what I've been told, makes even less sense. But what can we do to improve things?

Diversification is the best way to hedge against volatility, but now there are more ways to invest in volatility itself.

When you talk to the public about the Japan situation, begin by recognizing this is first and foremost a human tragedy.

A popular axiom – referred to as Occam’s razor - holds that we should tend towards simpler approaches until we must trade simplicity for increased explanatory power. For estate trustees and beneficiaries considering tax strategies in the disposition of 2010 estate assets, this principle is a sound guideline.

Certainly, communication breakdowns are headaches. But when political tumult grips North Africa and the Middle East, and the earthquake and tsunami disasters in Japan actually go nuclear, make sure that there are no breakdowns between your practice and your clients.

LinkedIn is a powerful networking tool that can have a significant impact on your bottom line.

By following six simple steps, advisors can improve their writing and marketing communications.

How can advisors take advantage of opportunities created by limitations on fees and transactions? Program managers at BISA’s bank broker-dealer breakout session presented some interesting answers. “Banks are struggling with where to get more revenues because of fee reductions,” said Rob Comfort, head of Huntington Investments. “This gives us an opportunity to play a prominent role.” …

I see a lot of advisors who get very little interaction with the sponsors, and there is little in the design of today's exhibit halls that encourages that interaction--and THAT was my point.