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November 2023

Founders Beware: Younger Advisors Are Leaving

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The next generation of advisors may be looking to find a new firm.

Higher For Longer Mantra Confounds Bond Investors

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What do fixed-income investors say when 15 years of sleepy interest rates suddenly perk up?

A Text To Show You Care

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As email inboxes become jammed, texting becomes an attractive marketing solution. But be mindful of regulators.

Conversational Opportunity Comes Knocking

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When you're more aware of yourself as a talker, you'll see how important some conversations are.

A Direct Impact

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Foundations can help by sometimes giving directly to people. But watch for the tax implications.

Facing The Dreaded Non-Compete Clause? There Are Remedies.

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Non-compete clauses are increasingly out of favor politically, but larger RIAs are holding on tight.

Preparing Clients For The Risk Of Cognitive Decline

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Advisors often have to bring up this sensitive topic with clients.

Should Clients Know Their Advisor's Net Worth?

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Advisors agree that they should be open with their clients about their personal finances.

Talking Bots

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How will AI be used by advisors? And how can they do it ethically?

Three Myths About The Bond Market

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The era of declining interest rates may have come to an end, and many investors don't seem to realize it.

Displaying Mid-Cap Mojo

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The Virtus KAR Mid-Cap Core Fund has navigated this space with top-notch results.

Tax-Smart Wealth Transfer Tips For Clients In Late Old Age

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Older clients have different needs, which often include the need to help family members.

Inflation Lifts Tax Ceilings

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Different times call for different year-end tax moves.

Getting Over The Annuity Hurdles

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If you think handling annuities is a problem, you're not alone.

Keeping Your Clients From Fumbling A Financial Windfall

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How does sudden money affect people's psyches?

Advisor Emporium

Sierra Expands Mutual Funds Suite

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The fund suite uses a distinctive tactical investment approach to produce long-term returns while limiting downside risk.

Editor's Note

Why RIA Firms Could Start Looking More Like Wirehouses

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All year we've been covering the changing of the guard in the advisory profession, and this issue's cover story continues exploring that topic.

Frontline News

IRS Promises A Sharper Look At Pass-Through Entities

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The renewed focus comes as the agency increases scrutiny of high-income individuals.

Reg BI Could Become Obsolete

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Broker-dealers are fleeing the model as well, underscoring the regulation's failure, says Michael Kitces.

Even Affluent Earners Face Retirement Shortfalls

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Only exceptionally high earners are poised to fund all their retirement needs, says a Vanguard study.

Investors Who Think They Know More May Pay Higher Fees

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But when their knowledge had been tested, their reported fees were lower, Finra says.