Week ending November 22nd, 2019

Happy Friday, readers! There are a lot of elements to ensuring success in the financial advisory profession, but at the core is quality client service. You can have the best growth rate in the industry and the most effective sales staffers out there, but if you aren’t retaining existing clients, it will all be for naught. Collected below is a series of articles on the topic of ensuring quality client service. We hope you will share some of what you read with a client or colleague.

Editor's choice

Ways to Help Sponsors Simplify Year-End Plan Administration

Advisers can guide their sponsor clients towards the assistance that TPAs and recordkeepers can provide. Read more >

Need for Long-Term Care Insurance in Retirement Is Great

As the population ages, experts believe more companies will offer this voluntary benefit. Advisers who are educated about long-term care insurance can increase awareness for retirement plan sponsors and participants. Read more >

Preventing Financial Abuse of Aging Clients

Retirement plan advisers do more than help shape their retired clients’ finances; they can and indeed must play a part in making sure their clients are treated equitably. Read more >

The Price Tag of Financial Stress

According to new John Hancock research, financial stress has a major impact on organizations, costing more than an estimated $1,900 per year, per employee. Read more >

A Seamless Advisory Experience

The typical investor has five to six accounts, multiple products and custodians, and two or three advisers managing their assets. Read more >

Opportunities Through Aggregation or Affiliation

Amid this activity, independent shops seeking to remain solo continue to affiliate with entities such as GRP Advisor Alliance and Resources Investment Advisors LLC. These firms offer scalable back-office support and access to many of the client-facing solutions a CAPTRUST can bring to bear. Read more >

MOST POPULAR STORIES

Inheritance Pathways Exist to Replace Stretch IRAs

The SECURE Act is stalled in the U.S. Senate due in part to several lawmakers’ concerns that it does away with so-called “stretch IRAs,” but tax and inheritance experts say other effective tax mitigation strategies are available.

Washington Update: Industry Turns Attention to Portman-Cardin Bill

The president’s budget proposal may be short on retirement reforms, but members of Congress are already looking beyond the SECURE Act.

FINRA Wants to Help You With Reg BI Compliance

As the enforcement date approaches for the sweeping Regulation Best Interest rulemaking package, FINRA is working hand-in-hand with the SEC to ensure effective coordination—and to support advisers working on associated compliance challenges.

‘Stretch IRAs,’ Multigenerational Inheritance and the SECURE Act

Low and middle-income Americans struggling to save for retirement are depending on the U.S. Senate to pass the SECURE Act, advocates say. At present, one roadblock seems to the law’s treatment of “stretch IRAs.”

CAPTRUST Acquires Fountain Financial Associates

The team of 10 employees, including five advisers, joins CAPTRUST’s wealth management practice, adding $654 million in assets under management.

Strategic Insight was recently acquired by ISS. Learn more.

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