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Advisers may be struggling to adopt model portfolios
PRACTICE MANAGEMENT AUG 19, 2020
Advisers may be struggling to adopt model portfolios

There are pros and cons to third-party marketplaces that should be considered, according to new research

Here's how COVID-19 could test the value of ESOPs
RETIREMENT PLANNING AUG 19, 2020
Here's how COVID-19 could test the value of ESOPs

Employee ownership plans correlate with higher income and better retention, and companies with such plans are likely doing better than others right now, according to an ESOP group

3 tips on building recession-ready retirement income plans
OPINION AUG 19, 2020
3 tips on building recession-ready retirement income plans

Advisers need to help clients understand that the question isn’t whether the markets will drop, it’s when and how far

Her Success Matters: Renée Baker
PRACTICE MANAGEMENT AUG 18, 2020
Her Success Matters: Renée Baker

The head of PCG Advisor Inclusion Networks at Raymond James describes her experience with diversity and inclusion in the workplace

Advisers get political — and confrontational — on Twitter
FINTECH AUG 18, 2020
Advisers get political — and confrontational — on Twitter

The rewards of striking political points outweigh the risks of alienating clients for many of the most vocal advisers

Marketing beats prospecting
OPINION AUG 18, 2020
Marketing beats prospecting

Instead of prospecting, try appealing to a targeted set of potential clients by offering meaningful educational content

Clients show more interest in emergency funds amid pandemic
PRACTICE MANAGEMENT AUG 17, 2020
Clients show more interest in emergency funds amid pandemic

COVID-19, high unemployment and the upcoming presidential election are making clients more inclined to build a cash cushion, advisers say

Hybrid managing $300 million joins LPL from KMS
BROKER DEALERS AUG 17, 2020
Hybrid managing $300 million joins LPL from KMS

Stabler Wealth Management is based in Bellevue, Washington

Inequality as an investment risk
OPINION AUG 17, 2020
Inequality as an investment risk

ESG investing will push to address the issues of systemic racism and the inequality of Black Americans

Gifting in uncertain markets
OPINION AUG 17, 2020
Gifting in uncertain markets

In a volatile market, clients can give assets that are undervalued as a result of market instability, but are expected to appreciate in value

SEC orders firm to pay for share-class disclosure failures
PRACTICE MANAGEMENT AUG 14, 2020
SEC orders firm to pay for share-class disclosure failures

Fresno, California-based SCF Investment Advisors took 12b-1 fees from mutual funds and revenue sharing from money market funds

ICapital boosts access to alts for advisers with PGIM
ALTERNATIVES AUG 14, 2020
ICapital boosts access to alts for advisers with PGIM

PGIM is the latest asset manager to tap iCapital's technology to give advisers access to a wider range of alternative investments

LPL's Andy Kalbaugh to retire in early 2021
BROKER DEALERS AUG 14, 2020
LPL's Andy Kalbaugh to retire in early 2021

The executive has led the firm's national sales and consulting

Listening for the stories that drive client behavior
OPINION AUG 13, 2020
Listening for the stories that drive client behavior

Once we're conscious of the stories we’re working with, we’re in a better position to question, and if necessary, rewrite them

McCann stepping down at UBS
PRACTICE MANAGEMENT AUG 13, 2020
McCann stepping down at UBS

After joining from Merrill Lynch in 2009, he was credited with injecting new life into UBS' U.S. wealth management business

Remote work trend drives performance of thematic ETFs
PRACTICE MANAGEMENT AUG 13, 2020
Remote work trend drives performance of thematic ETFs

Exchange-traded funds that focus on cloud computing and cybersecurity are having a good year

Securities America team managing $800 million moves to LPL
BROKER DEALERS AUG 13, 2020
Securities America team managing $800 million moves to LPL

Equitrust Financial Group has five advisers and is based in Deerfield, Illinois

Fidelity launches digital fixed-income trading tool for advisers
FINTECH AUG 13, 2020
Fidelity launches digital fixed-income trading tool for advisers

Bond Beacon integrates existing technology allowing advisers to manage pre-trade, at-trade and post-trade fixed-income holdings via one interface

SEC highlights compliance risks amplified by pandemic
PRACTICE MANAGEMENT AUG 12, 2020
SEC highlights compliance risks amplified by pandemic

The regulator wants firms to beef up supervision of remote workers and increase controls on fees and expenses

Financial planning profession making great strides to develop diversity
OPINION AUG 12, 2020
Financial planning profession making great strides to develop diversity

While the industry's efforts are admirable, there is still more that firms can do