Client Service April 28th, 2020 The Need for Planning—Not Just Advice—Is Clear Where does a comprehensive financial plan start?
Compliance April 23rd, 2020 Nearly Time to Comply with Reg BI Some see the SEC’s Regulation Best Interest as “nothing new,” while others say it will be a game changer when...
Practice Management April 20th, 2020 Adviser Industry Impact of COVID-19 The coronavirus has brought a cooling of the pace of M&A, questions about remote work and concerns about what a...
The Markets April 16th, 2020 Hard Lessons About Liquidity Buckets and Cash The middle of a severe bout of market volatility is not the right time to build a bucket strategy or...
Compliance April 14th, 2020 A Time of Crisis. A Time to Solve Our Big Problems? With passage of the CARES Act, Congress has demonstrated an ability to speedily enact ambitious bipartisan legislation that addresses the...
Client Service April 8th, 2020 Advisers Giving Back: Pensionmark One charity program Pensionmark supports is Partners in Education, which pairs young people with mentors from the business community to...
Compliance April 7th, 2020 A Brave New Fiduciary World The response of advisers to the coronavirus pandemic can provide a concrete illustration of how fiduciaries now function.
Practice Management April 6th, 2020 First Time Advising in a Bear Market? It’s easy to tell clients their accounts have grown by leaps and bounds, but helping them calmly navigate a severe...
Practice Management April 1st, 2020 Staying Audit Ready in a Turbulent Time As one might expect, what the Department of Labor (DOL) and the Securities and Exchange Commission (SEC) are particularly interested...
Client Service March 30th, 2020 Advisers Giving Back: The Smarter Tomorrow Foundation Founded by Florida-based financial adviser Jason Chepenik, the Smarter Tomorrow Foundation is on a long-term mission ‘to give every kid...
Practice Management March 26th, 2020 How to Run a Remote Advisory Firm ‘This is likely the moment we will become full-time remote and never go back,’ one adviser says. ‘The challenge will...
Practice Management March 24th, 2020 Are You an Adviser or Consultant? Think that distinction doesn’t matter? Just ask your service provider partners.
Client Service March 20th, 2020 Advisers Giving Back: Peak Financial Group Now part of HUB International, the firm hopes to expand its giving to positively impact the lives of children in...
Practice Management March 18th, 2020 At the Helm: Advisers and Clients Embrace 3(38) Services The retirement planning world has moved steadily toward 3(38) fiduciary investment management services, driven by the shared preferences of plan...
Client Service March 12th, 2020 Divorce Can Derail Otherwise Solid Retirement Plans Estate planners and attorneys see a growing trend of ‘gray divorce’ affecting couples in their pre-retirement years, though the challenges...