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  • 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
  • July 26, 2016
    Who's The Best Presidential Candidate for the Wealth Advice Industry?

    Last week, Donald Trump became the Republican Party's official candidate for the White House. And Hillary Clinton is about to get the nod from the Democrats. Which nominee (in alphabetical order below) do you think would be best for the financial advice business? Tell us why in the comments section.

    Last Comment: July 26, 2016
    1 Comment
  • July 19, 2016
    Will You Recommend More ETFs in the Future?

    New research from Cerulli Associates says the use of exchange-traded funds at wirehouses has increased – and will continue to increase as fee-based advisory platforms grow. Apparently RIA ETF allocations as a percentage of the client portfolio are still higher, but in total wirehouses hold more of the ETF universe. Will you use more ETFs in the future?

    No Comments
  • July 12, 2016
    How Important is Insurance and Annuities to Your Practice?

    Life insurance and annuity providers want broker-dealers to sell more of their products, new research from Aite Group suggests. The research house says within the next two years, 61% of insurers will be distributing through this channel. But do broker-dealers want to deal with more providers and push more product?

    No Comments
  • July 5, 2016
    Does the Fed Stress Test Matter to Big-Bank Advisors?

    The biggest U.S. banks just passed the Federal Reserve’s yearly “stress test” on their ability to meet capital requirements, though Morgan Stanley was asked to resubmit its capital-reserve plan for the second year running. Bank of America, Merrill Lynch’s owner, faced a similar challenge last year. Do such events have a negative impact for FAs who work at these banks?

    No Comments
  • June 28, 2016
    How Bad is Brexit for American Investors?

    Britain's vote last week to leave the European Union saw an immediate and sharp fall for European equities as well as pound Stirling and euro currency markets. But what's the fallout for your clients?

    No Comments
  • June 21, 2016
    Should you block your clients from buying 'bad' products?

    Fidelity is making its brokers bar clients from buying unsuitable products, such as certain exchange-traded notes it deems bad choices. Suitability standards and fiduciary responsibilities are one thing, but if a client has their heart set on a specific investment, should you block them outright?

    Last Comment: June 21, 2016
    2 Comments
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