Investment News & Analysis for Financial Advisors | ThinkAdvisor

Expert Opinion

Unpacking IRS’ 199A Regs: Final vs Proposed Rules

Robert Bloink | |William H. Byrnes |February 07, 2019

The proposed regulations contain some twists that may surprise clients who are currently calculating their 2018 tax liability.
News

TD Ameritrade CEO Hockey Vows Not to Compete With RIAs

Melanie Waddell |February 07, 2019

"We've been ambiguous about this in the past," but "our strategy is clear," CEO Tim Hockey says.
News

What Does 'Moderate Risk' Mean? Depends on Where You Live

Emily Zulz |February 07, 2019

Natixis’ annual Global Portfolio Barometer offers insights into model portfolios and asset allocation decisions from across the world.

News

Court Grants Fraud Judgment Against Co-Owner of Defunct Investment Advisor: Enforcement

Emily Zulz | February 08, 2019

The SEC also received judgements on two other enforcement actions, a penny stock schemer and a fraudster.
News

How to Prepare to Leave a Legacy: Study

Bernice Napach | February 07, 2019

The latest Merrill Lynch/Age Wave study finds that most adults 55 and over haven't taken care of the essentials.
News

Trump Says He's 'Open' to Changing SALT Cap

Lynnley Browning | February 07, 2019

But Senate Finance Committee Chairman Charles Grassley (R-Iowa) opposes the idea, which essentially nixes any change soon.
News

Fidelity Launches First Model Portfolios With ETFs

Bernice Napach | February 07, 2019

The two income-producing portfolios include active and passive mutual funds along with ETFs.
News

Wells Fargo Online Banking Suffers Second Outage in a Week

Janet Levaux | February 07, 2019

The firm blamed a power shutdown at one of its facilities for problems Thursday.
Insurers to Congress: Protect People With Health Problems

Allison Bell | February 07, 2019

AHIP also says it would like to see new efforts to get Americans to maintain continuous coverage.
News

Global Fund Flows Had Worst Year Since 2011: Morningstar

Michael S. Fischer | February 07, 2019

"Risk aversion was most evident among fixed income funds" in 2018, according to Morningstar.
A Sustainable Robo-Advisor That Wants to Redefine Corporate Success

Bernice Napach | February 07, 2019

Newday favors companies that value employees and suppliers as much as their shareholders.
News

SIMON Says It’s Offering a ‘Single Solution’ for Structured Products

James J. Green | February 07, 2019

Platform launched by Goldman now includes multiple issuers; will expand to annuities in Q2.
News

Insurers Are Competition for the PBGC: GAO Chief

Allison Bell | February 07, 2019

Pension risk transfers are leaving the pension guarantor agency with fewer premium-paying customers.

Instant Insights / Top Women in WealthTech

Behind the Screen: 16 Top Women in WealthTech

By Janet Levaux |January 31, 2019

Investment Advisor proudly presents its inaugural list of the most influential female financial professionals in the field of technology.

Women in WealthTech: Danielle ‘Dani’ Fava of TD Ameritrade Institutional

Women in WealthTech: Neesha Hathi of Charles Schwab

Women in WealthTech: Cheryl Nash of Fiserv Investment Services

Women in WealthTech: Tricia Rothschild of Morningstar

Browse Instant Insights → Read More Stories →

Resources

Win More Clients with Tax-Intelligent Trading and Rebalancing

From Orion Advisor Services

Winning & retaining clients in today’s landscape requires you to have the ability to customize portfolios to their individual needs.

Download Resource ›
Modifying Investor Behavior: How Advisors Can Protect Clients From Their Worst Instincts

From American Portfolios

Get three key strategies to help keep clients from harming their own financial futures.

Download Resource ›
Tax Cuts and Jobs Act: Responding to an Altered Tax Landscape

From American Portfolios

The tax reform bill passed at the end of 2017 means big changes. Learn the ins-and-outs from this comprehensive guide to help your clients navigate the changes.

Download Resource ›
The Future of Advisory Fees: How Competition is Changing the Way RIAs Bill for Services

From Orion Advisor Services

Don’t be caught unaware by unexpected fee compression. Learn how to prepare for trouble before it shows up.

Download Resource ›
Selling Your Practice: Determining the Value of Your Practice, Increasing its Value and Putting a Plan in Place

From American Portfolios

Don’t leave your clients and employees high and dry-- start planning for the future of your practice now.

Download Resource ›
5 Signs You're Using Outdated Advisor Tools

From Orion Advisor Services

Staying with the outdated technology tools you already have may seem easier, but the costs of being left behind could soon add up.

Download Resource ›
Solving the Financial Documentation Compliance Challenge

From Nuance Communications

It’s not glamorous, but financial documentation is essential. Discover how you can improve your process and provide personalization for clients.

Download Resource ›
How Firm HR and Finance Teams Can Leverage Data for Mutual Success

From Workday, Inc.

Learn how your firm can achieve bigger and better goals by melding your data into one seamless flow of information.

Download Resource ›
5 Ways to Make Your Financial Advice Irreplaceable

From Cetera Financial Group

Use these tips to effectively show your value and increase the stickiness of your client relationships.

Download Resource ›
The Financial Advisor's Guide to Compliant IM and Collaboration

From Smarsh

Instant messenger makes it easier to communicate, but also runs the risk of violating regulations if you’re not careful. Learn how to connect, yet still remain compliant.

Download Resource ›
The Field Guide to Recordkeeping Worst Practices

From Smarsh

It’s easier to just close your eyes to the risks modern technologies can create, but you must not let your firm continue to follow risky routines.

Download Resource ›
Guide to Compliant Productivity: Have Your Cake and Eat It Too in a Post-Email World

From Smarsh

You can remain compliant while still taking advantage of modern tech tools to help you be more productive. Find out how!

Download Resource ›
Why Compliance Officers Should Say 'Yes' To Text

From Smarsh

The new generation of clients and employees want to communicate through text messaging. Learn how your firm can make changes to accommodate this preference.

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Your High-Net-Worth Client Strategy: It's what they want, not what you know

From SEI

High-net-worth clients expect exceptional service in all facets of their lives.

Download Resource ›
Charting your own course: 5 business models for the modern RIA

From Schwab Advisor Services

Advisors are choosing the independent RIA model now more than ever. Discover 5 different paths you can take to independence.

Download Resource ›
Fees at a Crossroads Revisited: 6 Steps to Help Financial Advisors Close the Fee vs. Value Perception Gap

From SEI

Interested in learning why it may be time to look beyond the traditional AUM model to keep up with evolving trends?

Download Resource ›
3 Factors in Finding Fixed Income Opportunities

From Cavanal Hill Funds

Find out how to help your clients best navigate investing in fixed income funds to boost their portfolios.

Download Resource ›
Modifying Investor Behavior: How Advisors Can Protect Clients From Their Worst Instincts

From American Portfolios

Get three key strategies to help keep clients from harming their own financial futures.

Download Resource ›
The RIA Roadmap: Your Essential Guide to Making the Transition

From Schwab Advisor Services

Are you ready to go independent? Thousands of advisors have made the transition. Learn how with this guide.

Download Resource ›
Selling Your Practice: Determining the Value of Your Practice, Increasing its Value and Putting a Plan in Place

From American Portfolios

Don’t leave your clients and employees high and dry-- start planning for the future of your practice now.

Download Resource ›
Tax Cuts and Jobs Act: Responding to an Altered Tax Landscape

From American Portfolios

The tax reform bill passed at the end of 2017 means big changes. Learn the ins-and-outs from this comprehensive guide to help your clients navigate the changes.

Download Resource ›
Exploring Independence: An Overview of the Registered Investment Advisor Model

From Schwab Advisor Services

Why more advisors are choosing to become RIAs

Download Resource ›

Browse More Resources →

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