April 2015

The Next Rung


Faced with higher costs and tepid recruiting, broker-dealers want to grow organically—and smarter.

A Smooth Transition


Advisors need a succession plan so they don’t put themselves—or their clients—at risk.

Planners Failing To Plan


Every firm that wants to grow needs a formal business plan. Our firm’s plan has five vital elements.

Kill The ‘Elevator Pitch’


Instead, ask great questions to engage potential clients.

What The Wealthy Want

by ,

They want advisors to deliver solutions, not services.

Helping Hand


ABLE accounts can supplement special needs trusts.

What Makes Orion So Special?


It should be able to deliver the tech services advisors need in the years ahead.

AQR Finds Junk Risk Can Hurt


A new study shows that the small-cap stock premium is alive and well … but only if you avoid the schlock.

A Starring Role


ETFs are the building blocks for robo-advisors, which you can use to target younger clients.

Small Caps Still In Play


2015 should be a good year for picking small caps, manager says.

The Long And Short Of It


Longevity annuities and QLAC get a lift from the Fed, but can that boost their numbers?

So, Who Are You Calling An ‘Advisor’?


It has nothing to do with competency, but call a ‘salesman’ a salesman.

Advisor Emporium

Disability Insurance For Divorcing Couples


Disability Specialists Inc. (DSI) has developed a new insurance product specifically designed for divorcing couples.

Editor's Note

Why Target-Date Funds Come Up Short


Target-date funds are capturing a growing share of assets in the U.S. 401(k) market, and the guess here is that it isn’t a good thing...

Frontline News

Women, Financial Advisors Still Not On Same Page


It seems the working relationship between financial advisors and females on the whole remains a work in progress.

BizEquity Helps Advisors With Business Valuations


Advisors are using BizEquity’s business valuation services to value the businesses of clients––and their own practices.

CAIA Brings Alts Education To Advisors


The CAIA Association’s certificate program in alternative investments aims to educate financial advisors on the nuances of alts and how to employ them in client portfolios.

Finra Fines Rose Sharply Last Year


Fines levied by the self-regulator of securities firms were roughly $135 million in 2014, an increase of 125 percent from the prior year.

Surge In New Impact Investing Funds, Study Says


Funds that focus on impact investing have enjoyed dramatic growth in recent years, with 69 percent having been launched since 2009, compared with just 13 percent before 2006, according to a new study.

Paying For Tuition Trumps Retirement Savings, Survey Finds


About half of parents would rather withdraw money from their retirement account, work more years or take on a second job than have their kids take out student loans, according to a T...