Knowing the levels of advancement to come helps younger recruits plan their futures.
Highlights, headlines and quick hits from the event's top speakers and panels
At minimum, every advisor should have a personalized, written emergency continuity plan in place. And the best, most complete solution is a funded continuity and succession plan backed by emergency on-site support in the event of a challenge to business continuity.
Few changes in the retirement plan landscape have been as far-reaching and significant as the Department of Labor's (DOL's) recent fee transparency initiative. As a Registered Investment Advisor (RIA), you have likely already assessed whether you are subject to the new regulations, and if you are, have reviewed your fee disclosure practices to ensure that you are in compliance. It's now time to turn your attention to business opportunities presented by the DOL's fee transparency rules, according to this white paper from TD Ameritrade Institutional.
This new white paper, written by Amy Webber, President and COO of Cambridge Investment Research, explores the benefits and drawbacks to having your own RIA, as well as the benefits of leveraging a corporate RIA.
Few topics get more attention in the retail world of financial services than the subject of teams. Wealth management teaming is a hot topic. However, it takes more than a group of advisers coming together and announcing themselves as a team to be successful with today's affluent investor. This white paper from Cetera focuses on how the best teams, which have been able to set themselves apart from their peers.
How couples relate to advisers is changing.The emerging model is a more collaborative partnership in financial planning and investing, versus the archetype “primary” decision maker, according to this new white paper from LPL.
The number of high net worth women across the country is on the rise, and many of them are calling the financial shots in their households.There's an urgency to better understand – and effectively serve – this influential group of independent-minded women. But it's not so simple, and certainly not something to do on gut. Schwab Advisor Services conducted the Women and Financial Independence Study to provide some real insights into who high net worth women are, and what they are seeking from their advisers. An interesting picture emerged from our findings. For example, high net worth women favor performance over planning, though planning is still very important. They prefer shared decision-making versus sole control. The gender of an adviser matters less than age. And face-time is more important than email. Complete details can be found in the following pages.
Invesco's Richard Golod, director of global investment strategy, on why he believes the US, Japan and emerging markets may offer compelling opportunities, while Europe requires a more selective approach.
