Treating clients as we would our dearest friends is not only the right thing to do, but tends to result in a lot of referrals from happy, well-cared-for clients.
If you are an adviser, you are either currently with an RIA, thinking about going RIA or know someone who has left a broker to go RIA.
Great advisers with good tools were unable to prevent far too many investors from making emotional decisions amid the March 2020 market volatility.
My happiest client thinks I’m a true investment genius. My unhappiest is, of course, no longer my client.
Many RIA sellers who were already contemplating an exit in the near- to mid-term are likely to see the handwriting on the wall and scramble to complete their sales before the tax increase takes effect.
Advisers should be thinking about how best to shield their clients from the threat that climate change poses to investors’ returns — and the stability of the entire financial system — in coming years.
Remember to always keep serving your clients. Just because they signed on the dotted line doesn’t mean they’ll always stick around.
Embedded finance has become popular, and profitable, as companies combine savings, lending, insurance, investing and planning services into nontraditional apps, like Walmart Inc. and Uber Technologies Inc.
Firms interested in selling have increased dramatically, but going into the end of this year, it may be hard to find the specialized contractors needed to complete a deal, like bankers, lawyers and accountants.
The SECURE Act 2.0 builds on the success of the original SECURE Act signed into law in 2019 with several commonsense provisions to further help individuals save and invest for their retirement.
In the past year alone, Goldman Sachs Group Inc., Morgan Stanley & Co., BlackRock Inc. and Charles Schwab & Co. have all expanded their direct-indexing capabilities and are jockeying for the next generation of investors.
The questions that RIAs have about commission-free annuities right now are the very same questions they had just 15 years ago about exchange-traded funds, which are now a core part of client portfolios.
Advisers aren’t talking to their clients about SRI investing, or if they are, they aren’t taking it seriously — which will ultimately be to their own detriment.
Estate planning is a lot bigger than just the financial aspects of the estate; it includes family, feelings, values and goals.
Family offices have always had to consider the trade-offs between customization and price when putting together their tech stacks.
While there's some good news about women attaining corporate board seats, progress is still slow. Here are some suggestions on how women advisers can attain leadership roles.
To fulfill our mission of expanding access to financial advice to all corners of the country, our membership and our profession must reflect the makeup of our overall society.
If the perceived value of an RIA is tied to the adviser's investing prowess, it makes it hard to develop a succession plan or sell the firm.
Understanding what a company does can skew our perceptions of the risk of investing in the company.
More financial support is needed to combat the gap in financial investment in children’s mental health and improve access to care.
