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  • September 27, 2016
    After the First Debate, Clinton or Trump?

    Monday marked the first time the two presidential nominees shared the stage to present their views for the country. Based on their performance, who do you think would be the better president for financial advisors and investors? Explain your reasoning in the comments section below.

    Last Comment: October 4, 2016
    11 Comments
  • September 20, 2016
    What's the Better Client Advice Method – The Team Approach or the Personal Touch?

    More and more advisors are choosing to work in teams with their clients. Some research indicates 55% of advisors work in some kind of team-based arrangement. But what do you prefer? The strength of the group or the personal touch?

    No Comments
  • September 13, 2016
    Are Marketing Restrictions Too Tight?

    RIAs are currently banned from using testimonials and past recommendations in their advertising. But a new bill – if it survives a presidential veto – could change that. Do testimonials and past recommendations have a place in advisor marketing?

    No Comments
  • September 6, 2016
    Are 401(k) suits a red flag for your clients?

    Legal action by employees in financial services aren't new, but suits claiming a lack of transparency and fund choices are on an upswing these days. For advisors, can this latest wave of retirement plan complaints be seen as:

    Last Comment: September 6, 2016
    1 Comment
  • August 30, 2016
    State-Run Retirement Plans for Private Sector Workers?

    The Obama administration wants to make it easier for states and municipalities to offer retirement savings plans to private sector employees, as several jurisdictions have said they would like to. Do you think that’s a good idea?

    No Comments
  • August 23, 2016
    Are Brokers More Corrupt Than RIA-Based Advisors?

    The infamous swindler Bernard Madoff ran a brokerage and an RIA. And news reports seem to feature as many fiduciaries as brokers in the legal hotseat for bilking clients. So is one set of advisors more trustworthy than another?

    No Comments
  • August 16, 2016
    Can ETFs Help Clients out of the 401k-Fee Quagmire?

    Do you see ETFs as important alternatives to mutual funds in 401(k) plans?

    No Comments
  • August 10, 2016
    Is "AUA" in line with transparency and regulatory guidelines?

    Some wealth firms stress "assets under advisement" or "assets under supervision." Are you OK with that?

    No Comments
  • August 8, 2016
    How Central Is Behavioral Finance to Your Work?

    According to Investopedia, behavioral finance “seeks to combine behavioral and cognitive psychological theory with conventional economics and finance to provide explanations for why people make irrational financial decisions” — like, in the classic example, buy what’s dear and sell what’s cheap. Do you use any of its tenets with your clients?

    No Comments
  • August 2, 2016
    Are Clients Interested in SRI and "Sustainable" Investments?

    In new research from TIAA Global Asset Management, 95% of advisors say their clients have no exposure to socially responsible or "sustainable" investments, while around a third of high-net-worth investors say they do. And 87% of Millennials claim they'd stay with an advisor who could talk about the subject. So, why the apparent disconnect? Are your clients interested in SRI and sustainable strategies?

    No Comments
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