Online News for Financial Advisors, RIAs, Investment Advisors, Financial Planners and Wealth Managers

Investor Advocates Cry Foul After Finra Expunges UBS Rep's 29 Client Awards

A Finra arbitrator wiped complaints that led to $30 million in customer awards from the rep's record.
Don't Panic Over Disappointing Social Security COLA, Advisors Say

Planners talk about how to cope with high prices and limited income growth during retirement.
Advisors Fail At Income Planning, Says A Panel Of Consumers

Only 27% of investors say their advisors mention income planning, according to Alliance for Lifetime Income research.

Inside the
current issue

The High Cost Of Luring Business
By Jennifer Lea Reed
With up-front money for job-hopping advisors hitting highs, advisory firms are finding new ways to compete.
Synthetic Equity, The Sugar Substitute
By Philip Palaveev
At a time real equity is becoming expensive, how do you share your firm's ownership?
How To Handle Clients' Election Anxiety
By Susan Theder
Elections make people nervous. But these five strategies will help you calm clients.
Under The Microscope
By Ross Levin
We're constantly looking at our own firm to consider what we do right and wrong.
The Link Between Giving And Wellness
By Hannah Shaw Grove
Studies show that generosity can boost happiness and overall well-being.
High Earners Should Halt Pre-Tax 401(k) And IRA Contributions
By Ed Slott
We need to stop thinking about minimums when it comes to retirement plan distributions.
Facing Your Worst Critic: Yourself
By Hannah J. Moore
When a professional in my online forum spoke about feeling imposter syndrome, it turned out she had company.

How To Let Clients Know You're Qualified To Give Advice
By Bryce Sanders
Professional designations and awards are just some of the ways to state your case.
Safeguarding Clients From Fraud In The AI Age
By Matt Sommer
Advisors face the dual challenge of embracing AI's benefits while safeguarding their clients against fraud.
Evolving Financial Services For The Next Generation
By Lindsey Lewis
The future of wealth management hinges on how well the industry adapts to attracting, developing and retaining talent.
You're Probably Better Off Than You Were Four Years Ago
By Justin Fox
The answer to the classic presidential-election-year question appears to be yes (though the numbers are noisy).
Milton Shows Florida Needs Unpopular Insurance Reform
By Jonathan Levin
Lawmakers in Tallahassee have made some progress in addressing the industry's crisis, but they need to do much more.

Empowering Women Of Wealth Through Financial Planning Strategies
By Russ Alan Prince
Haleh Moddasser of Stearns Financial Group discusses the issues surrounding women and finance.
Mets Postseason Run Pushes Steve Cohen Toward Baseball Glory
By Janet Lorin
Cohen's Mets are in the best position to win it all since he bought the team for $2.4 billion in 2020.
How To Sell Your RIA To Grow Your RIA
By Jerry D. Prince and Russ Alan Prince
There are three principal ways the acquirer can help an advisor grow their RIA.
Navigating Workplace Transformation In The Post-Pandemic Era
By Russ Alan Prince
To build and sustain a healthy working environment, it's essential to be intentional about your culture
New Firm Offers Advisors A Gateway To Serving Ultra-Rich
By Karen DeMasters
The Family Office Resource Group will offer family-office solutions to advisors and other financial professionals.

Enjoy The Soft Landing
By J. Bradford DeLong
For now, the U.S. economy appears to be firing on all cylinders, even after a historically rapid cycle of monetary-policy tightening.
Why The Market Shrugs Off The Mother Of All Oil Shocks
By Javier Blas
Oil traders are taking a “this time is different” approach to war risk. That's, well, risky.
Historical Returns In Fed Rate-Cut Cycles May Hold Clues To Sector Performance Next Year
By Dave Sheaff Gilreath
As advisors anticipate the impact of the new Fed rate-cut cycle on client portfolios, many will probably rely on the conventional wisdom that cyclicals are likely to benefit the most.
How To Think About The Surprising U.S. Jobs Data
By Mohamed A. El-Erian
September's labor market report shows economists are missing important drivers of U.S. strength.
Just When We Recalibrated, Another Shock Arrived
By Jeffrey J. Roach
The economy will likely grow above trend for yet another quarter or two. However, risks are rising for 2025.

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