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Risk Management

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How Clients Can Prepare For--And Avoid--The Dreaded IRS Audit

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Automated IRS letters have led to a lot of false alarms about audits, planners say.

Number Of Reps, Brokerages Declined In 2021, Finra Finds

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At the same time, revenues and the number of investment advisor firms grew.

An Efficient Practice Means Leaving Some Clients Behind, Cerulli Says

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Many firms also are not using technology efficiently, the research firm said.

ETF Touts Gold, Other Commodities As Timely Inflation Hedges

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The GraniteShares commodities ETF is up 30% this year.

How Securities-Based Lending Can Help Build Wealth

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Securities-based lending (SBL) can be a low-cost, tax-efficient part of a well-defined wealth plan.

Tax Loss Harvesting Is Not Just A Year-End Strategy

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Advisors can strengthen relationships with clients by reevaluating portfolios now, State Street Global said.

How To Plan For Wealthy Clients Who Are Waiting For Inheritances

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Many rich Americans say they are depending on inheritances for financial stability.

T. Rowe, Schwab Say Times Call For Changing Investing Approaches

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Asset managers from Schwab and T. Rowe Price talked about the mood of investors and how it shapes portfolios.

Advisors Must Balance Personal Service With Tech Tools, Consultant Says

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Digital services don't mean advisors can abandon holistic services, says EY's Mike Lee.

Altruist Provides Direct Indexing With $2,000 Minimum

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The Altruist Strategist Suite will allow customization and tax advantages, Altruist said.

Portfolio Returns Could Weather A Recession, Janus Henderson Strategist Says

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History shows that recessions don't automatically translate into negative returns, strategist Adam Hetts said.

Freedom Oriented ETF Is A Hedge Against Autocracies

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The emerging markets ETF invests in countries that value human rights, the creator, founder Perth Tolle, says.

CLOs Provide Attractive Option As Rates Rise, Janus Henderson Says

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The asset class has topped $1 trillion in investments, two Janus Henderson fixed-income specialists said.

Diversification Best Protection Against War's Uncertainties, State Street Analyst Says

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Gold remains positively correlated to uncertainty, he noted.

New IRS Proposed RMD 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.

Franklin Templeton Managers See Tech, ESG Among Big Factors Over Next 5 Years

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Investors will need to measure the impact of the ongoing digital revolution, a panel of investors said.

Advisors, Strategists Tell Clients Ukraine Storm Will Pass

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"Bad things could and likely will happen, but so will good things," said Commonwealth's Brad McMillan.

ETF Delves Into Risks, Rewards Of Cutting-Edge Research

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Kelly ETFs of Denver has a focus on scientific research, including gene editing.

Contemplating Divorce During Bonus, Equity Award Season

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How to help your clients work through these life changes with the best financial advice possible.

Broad Diversification Is For Lazy Advisors, Contrarian Manager Says

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Gary Davis of GCI Investors says the best approach is to hone in on a handful of well-researched companies.

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