September 2021

Regulators Get Serious


SEC Chairman Gary Gensler ushers in a tough securities enforcement era.

Gray Divorce And Avoiding Retirement Ruin

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How do you handle the transitions when older people divorce and find new partners?

The Contemplative Practice


If we take time to reflect on ourselves, it will help us reflect better on clients.

Is The Bond Market Dead Wrong On Inflation?


The "paycheck component" of inflation might be getting overlooked.

Talking Shop

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You can help your clients navigate tough times by hosting a workshop.

Covid's Leadership Wake-Up Call


Employees, customers and competitors need your focus.

The ESG Expected Returns Story Isn't What You Think


The themes in environmental, social and governance investing today are much broader and more far-reaching than socially responsible investing at the beginning.

The ‘Schwabitrade' Merger And The Tech Fallout


Some custodians wonder if they can pick off RIAs unhappy about losing their favorite TD Ameritrade tech.

Handling Self-Directed Investors


Renée Pastor helped this client move beyond “throwing darts” at investment options.

Moving Assets To A Tax-Free World


These three strategies could help clients weather an increase in rates.

How Donor-Advised Funds Allow RIAs To Manage More Assets


Here are 10 ways advisors can increase assets under management by opening donor-advised funds.

This Go-Anywhere Real Estate Fund Goes Places


The Baron Real Estate Fund has topped its peers over the long haul.

How Does Government Tax An Annuity?


The amount depends on a number of factors, including how you bought the product and when.

The ‘Prudent Person' Should Include Alternatives In Target-Date Funds


Alternative assets can strengthen and diversify a retirement portfolio.

Advisor Emporium

Schafer Cullen And Water Asset Management Launch Water Strategy


Schafer Cullen Capital Management, a New York City portfolio management firm, and Water Asset Management, a specialty portfolio manager, have embarked on a partnership to invest in companies working...

Editor's Note

Reopening Takes A Break


Just when the reopening was proceeding in a fashion that elevated expectations about a return to normal life, the Delta variant upended everyone's summer.

Frontline News

Covid Pandemic Causes Retooling Of LTC Insurance Industry


Customers are having a harder time securing a long-term-care policy after the epidemic.

Making Sense Of Crypto Taxes


The IRS has pinned down cryptocurrency transaction tax rules.

Active Management Ascends In ETF Land


Actively managed ETFs are seeing record inflows, product launches and assets.

SEC Scrutinizes Wrap Fee Program Deficiencies

by FA Staff

A review found that financial advisors in these programs were violating their fiduciary duties, the agency said.