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April 2022

2022 Independent Broker-Dealer Survey: The Big Blur

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Broker-dealers are trying to look more like RIA custodians, but it was the fees they charge, sometimes opaque ones, that helped them win big during the pandemic.

Challenging Modern Portfolio Theory

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“A good portfolio is more than a long list of good stocks and bonds. It is a balanced whole, providing the investor with protections and opportunities with respect to a wide range of...

On Not Retiring

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Our succession plan caused some confusion, but it also forced us to clarify what we do.

5 Tips For Getting Noticed In Searches

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These are some of my favorite ways of raising your profile in web searches.

Helping Ukraine

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Charitable clients and foundations wanting to take action should consider both the region's immediate and long-term needs.

The Oh Sh*t Moments Of Retirement Planning

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Preparation for life events is underrated. And uncommon.

Is It Really Better To Control Our Emotions?

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Our emotions contain valuable information. Don't ignore them.

The Form U5 Is A Powerful Weapon

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And deep-pocketed firms can wield it like a cudgel.

Is The Peace Dividend Over?

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Sustainable growth requires paying for the capacity to sustain economies against external aggression.

Why Are We So Terrified Of Inflation?

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Inflation is the most confusing and misunderstood investment concept.

A Strategy Made For Rising Interest Rates

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The Eaton Vance Floating-Rate Fund offers principal protection and above-average yield.

Higher Rates Mean Changing Estates

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It pays to plan ahead for both low and high interest rates in these volatile times.

Superstitious Retirement

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Retirement is not something you have to pray for luck about.

Covid's Effect On Long-Term-Care Insurance

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Underwriting standards appear to be getting tougher.

Forgivable Loan Offers Can Be Expensive

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Down the road, you might end up paying a bigger price for this recruitment perk than you expected.

Advisor Emporium

CFP Board Issues Three New Guides For CFP Licensees

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The Certified Financial Planner Board of Standards Inc., headquartered in Washington, D.C...

Editor's Note

Back Offices In Transition

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Word has it that some of Wall Street's most sophisticated institutional brokerage firms are discovering that competing with the big IBDs and custodians is a lot harder than they imagined.

Frontline News

How Advisors Can Avoid Getting Sacked By Heirs

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Studies say young adults are prone to firing their parents' advisors. But this advisor says it doesn't have to be that way.

Alarming Amounts Of Money Are Leaving Retirement Plans, Says Morningstar

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That decrease cuts the leverage that retirement plan sponsors have in negotiating with asset managers.

Proposed IRS Rules Complicate Inheritance Distributions

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Attempts by the IRS to clarify RMD issues in the wake of the SECURE Act create more confusion.

New Bill Would Allow 401(k)s To Use Annuities As Default Investment

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The bipartisan proposal would allow plan participants to devote up to 50% of their assets to annuities.