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Community: Polls

  • 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
  • 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
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