January 17, 2017On What Should the SEC Focus in 2017?
Last week the SEC unveiled its examination priorities for 2017. They include a heightened focus on digital advice, wrap fees, ETFs, firms that hire brokers with misconduct records and never-before examined registered advisors. What do you think the SEC should prioritize this year?
Digital advice3% ETFs31% Firms that hire brokers with misconduct records21% Never-before examined advisors13% Wrap fees
January 10, 2017How Will You Grow Your Business in 2017?
How will you increase net asset flows from clients this year? What will be your primary objective?
Concentrate on growing my existing clients. I want to increase how much they invest with me.44% Improve my prospecting. I'll concentrate on winning more business from new clients.25% Better client segmentation. If I'm smarter about how I service big and small clients, the growth will come.
January 3, 2017How Do You Expect Investing Conditions to Be This Year?
As we enter a new year, what are you telling clients about investing conditions in 2017?
There will be a Trump boom.23% Fed tightening will put pressure on stocks.56% Don’t know — instead I'm stressing the importance of sticking to plan.
December 27, 2016How are Your Clients Feeling About the New Year?
With recent new highs in the stock market, a more clearly assertive Fed, and a breathtaking change of the political guard on the national scene in the year just ahead, we’d like to know how your clients are feeling about 2017.
Confident.47% Worried.29% A little of both.
December 20, 2016On Average, How Did Your Client Portfolios Do in 2016?
With high market volatility earlier in the year and geopolitical surprises throughout 2016, on aggregate, did you grow your clients' portfolios in 2016?
We were up, on average. There were ups and downs but I persevered and made a return for my clients.7% We were down or flat. 2016 was a struggle. But it's a long game. Sometimes there are years like this.
December 13, 2016Are the Holidays a Good Time to Engage Clients?
How much contact should you have with your clients during the holiday season?
Yes. Events that bring holiday cheer are good relationship builders.48% No. Families are already busy with parties. Wait until the New Year.
December 6, 2016What's the Focus For End-Of-Year Client Talks?
In end-of-year discussions with your clients, what will you be emphasizing?
Likely changes to taxes and estate planning in 2017.22% A possibility of choppier markets and the need for strategic assessment of long-term financial plans.28% The importance of making some smaller tactical changes to investment plans.6% How alternative investments might improve portfolio diversification.
November 29, 2016What Will the Investment Outlook be Under President Trump?
Trump is simultaneously seemingly pro-business and looking out for the little guy. While those two things are not necessarily mutually exclusive, how they will play out in policy is yet to be seen. So what will the economic environment and prospects for investing be like under President Trump?
Better16% No change25% Worse
November 22, 2016What Will You Tell Clients About Bonds in Trump's America?
Anticipation of greater government infrastructure spending, creeping inflation and rising rates are signaling to many investors that the 30-plus-year bull market for bonds is about done. In conversations with clients, do you plan to:
Talk about making strategic portfolio changes in fixed income. Long-term dynamics are fundamentally changing.49% Soothe fears. Longer-term bond fundamentals will remain steady. There's no need to make tactical adjustments yet.
November 15, 2016What Will Happen to the DOL's Fiduciary Rule Under Trump?
President-elect Donald Trump's campaign vowed to overturn the Department of Labor's new fiduciary rule, which is due for implementation in April 2017. But will the rule be watered down, or even repealed? In the comments section tell us what you think he should do with the rule.
Repealed. He promised to undo any new rules that “were not compelled by Congress or for public safety.”35% Watered down. Trump is anti-Wall Street but he's also vowed to help the little guy.31% Left as is. It's far too late for him to be able to do anything and it probably won't be on his radar anyway.