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Advice
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Discount Code For A4A Members For My StockOptions.com -- A Great Resource With Tax Season Upon Us
Tax, Andrew Gluck With tax season in full swing and stocks showing huge returns in recent years, advisors are dealing more with tax issues related to stock options, restricted stock and other compensation... |
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Beware Elder Fraud!
Financial Planning, Sheryl Rowling It might seem trite to bring up "elder fraud" again. Trite as it might seem, it is real and happening NOW! A good friend called me last week, upset after finding out about her parents'... |
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41 Questions Answered About A New, Simple, And Inexpensive Retirement Income Planning Spreadsheet App
Retirement, Andrew Gluck David Zolt is making an important contribution to the way financial advice fiduciaries will engage in retirement income planning. I’ve been producing weekly educational webinars for... |
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A New Voice In Retirement Income Planning: David Zolt, An Actuary, Financial Planner And Software Entrepreneur, Gets A Strong Reaction From Advisors Who Attended This Webinar
Retirement, Andrew Gluck Judging by the number of comments and their intensity (see below), members of Advisors4Advisors who attended Friday’s webinar connected with ideas about retirement income planning from David... |
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Compliance
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SEC Warns Never Before Examined Advisors - We're Coming!
Regulatory, Chris Winn Are you ready for an SEC Exam? If you are SEC registered and have yet to receive an exam, you better prepare. For months the SEC has alluded to its focus on "never-before examined... |
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2014 RIA Compliance: 23 Questions From Advisors And Answers
Registered Investment Advisors, Christopher E. Winn At at an A4A webinar last Friday, I covered the major issues compliance RIAs need to know about to be prepared for a regulatory exam in 2014. The session covered a wide range of issues, including... |
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Questions About ByAllAccounts And When Account Aggregation Of 401(k) Assets Triggers Onerous Custody Rules Become Focus Of Webinar About 2014 SEC Examination Priorities For RIAs
Registered Investment Advisors, Andrew Gluck Account aggregation app, ByAllAccounts, is the most popular account aggregation application among RIAs advising individual investors. So it was surprising when the app became a central focus... |
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For Small BDs And Clearing Firms, FINRA Legal Action Serves As a Cautionary Tale On Anti-Money-Laundering Compliance
Regulatory, Scott Matasar FINRA announced yesterday that it imposed a $1 million fine on a a Nebraska clearing firm for repeatedly violating anti-money laundering (AML), financial reporting and supervisory... |
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Industry
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Sure, Your Clients Can Pay for College, But Can Their HS Junior Even Get In?
Advisor Business, Patricia Krahnke & Bruce Neimeyer Juniors Are Rising It’s the end of February, which means your clients’ high school juniors are gearing up for their college search and section process. As your... |
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Rowling’s Appeal To NAPFA Reflects A Deeper Problem In The Movement To Make Financial Advising A Real Profession
Advisor Business, Andrew Gluck Sheryl Rowling’s appeal to NAPFA to restore accepting CPA/PFSs as members even if they do not hold a CFP designation reflects a deeper problem in the movement to make financial advising a... |
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NAPFA Must Do The Right Thing With CPA/PFSs If It Wants To Retain Its Special Role As An Advocate For Consumers
Trade Associations, Sheryl Rowling It's been over a year since the National Association of Personal Financial Advisors (NAPFA) decided to accept as new members only those holding the Certified Financial PlannerTM (CFP®)... |
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Advisor Clients Often Think Their Kids Are A Shoo-In For Entrance To Elite Colleges, But Good Grades And A Legacy No Longer Are Enough
Advisor Business, Patricia Krahnke & Bruce Neimeyer Say your client’s child has great grades, tons of “Advanced Placement” credits, high SATs and SAT IIs, went to all the right summer camps, and has legacy 10-ancestors deep at an Ivy... |
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Investing
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Practitioners Should Alter Their Approach To Clients Based On A Simple Behavioral Finance Profiling System
Strategies, Andrew Gluck Are you altering your approach to investors based on the type of behavioral investor they are? Prof. Victor Ricciardi, who will be speaking about behaviorial finance at this Friday's A4A webinar,... |
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Fritz Meyer Gets A 4.7-Star Rating From Advisors Attending His January 2014 Economic Update, But There’s Always One Scathing Review For Even The Best Presentations
Strategies, Andrew Gluck Fritz Meyer gave a brilliant update on the economy Tuesday, and he received a 4.7 rating from the 71 advisors who took the time after the Webinar to score his presentation on A4A’s... |
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Terror-Free Investing
Products, Sheryl Rowling Many clients are concerned about the type of investments held within their mutual funds. For these clients, we might offer a "socially responsible" fund. But what does "socially... |
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How Should Advisors Compete With Online Financial Advice Apps? By Partnering With Them
Strategies, Richard Ferri In recent years, a line was drawn in the sand between on-line advisers and human advisers. The on-line community staked out their turf by suggesting that human advisers will die out like dinosaurs.... |
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Managing
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Giving Good Subhead And Other Tricks For Writing Content People Will Read — And That’s Search-Optimized
Personal Development, Andrew Gluck Okay, the headline was a cheap trick, a crude grab for attention playing on our lust for titillation. But the underlying message is serious and important. Writing today –... |
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Eight Ideas For Identifying and Improving Your Processes and Procedures
Practice Management, Reid Stone Every firm has something they want to improve. Usually, the improvements involve a process or procedure within your firm. A process is the high level view of what work is done in your... |
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Vanguard, A Champion Of Consumer Causes, Embraces Hello Wallet, A Financial Advice App Aiming To Replace Financial Advisors
Practice Management, Andrew Gluck Vanguard has partnered with HelloWallet, a financial wellness service, to help employees save more for retirement by addressing the money pressures and behaviors that stand in their way. HelloWallet... |
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Why RIAs And IA Reps Should Employ A CIPM Certificant On Staff Or As A Consultant
Practice Management, Andrew Gluck Ninety-seven candidates passed CFA Institute’s October 2013 exam for the Certificate in Investment Performance Measurement (CIPM®) program. That brings the total number of CIPMs worldwide... |
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Marketing
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Beware The CPA!
Client Communications, Sheryl Rowling Doing your best for clients can get you into trouble. As a responsible investment advisor, you try to pay attention to all of the details: |
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How Often Should Advisors Blog, Post Status Updates, And Send Email Newsletters? Why The Frequency And Tone Of Client Communications Are As Important As Your Message
Client Communications, Andrew Gluck Financial advisors are not selling deals on electronics. They’re not Internet marketing hustlers. They’re not magazine publishers. On social media, financial advisors want to come off... |
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Download A Free Digital Asset Inventory Questionnaire For To Help Clients With Estate Planning For Digital Assets
Client Communications, Andrew Gluck The disposition of digital assets is a new frontier for fiduciaries and an emerging area of law that prudent investment advisors will want to track closely. Financial advisors who... |
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The Web Has Made It Much More Difficult To Discern Copycat Content From The Real Thing
Advertising, Andrew Gluck Do a search on Google on any given day for “financial advisors” and read the “news” results that are returned. It’s a simple way of seeing content being... |
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Technology
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Post-Monte Carlo Planning: A Modern Platform For Managing An RIA With A Revolutionary Planning App Based On Safe Savings Rates
Advisor Applications, Andrew Gluck inStream Wealth Solutions allows practitioners to advise clients based on a new approach to retirement planning, a methodology based on safe savings and withdrawal rates. But don’t think... |
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For RIA Owners Thinking Of Upgrading To Office 365, An In-Depth Look At Upgrade Options And Hassles You Must Know About
Software, Andrew Gluck If you own an RIA and you’re thinking of upgrading to Office 365, here are some important considerations. Upgrading my advisor marketing-technology company to Office 365 has been a... |
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Confessions Of A Tech Junkie, And The Latest Computer Monitors For Making Effective Client Presentations
Hardware, Andrew Gluck About a week after I purchased an $860 27” a WQHD 2560X1440 touchscreen monitor, Lenovo announced a plan to release a UHD 3840x2160 touchscreen “smart” monitor in July 2014. My wife... |
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How To Use Your Touchscreen To Draw Anywhere On Your Desktop; Free App Will Make You A Better Presenter
Software, Andrew Gluck I just could not get a colleague to understand what I meant yesterday when I asked him to center horizontally two elements on a Web page. He’s a really smart guy, but his... |
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While We Are In The Spirit Of Holiday Giving, Cybercriminals Are Taking
Web, Brian Edelman Tis the season for cybercriminals! As we prepare for this holiday season, it is important to remember cybercriminals are just waiting to steal our personal information. |
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A4A News
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Why Did A4A Stop Sending The Daily Digest? Because Sometimes Less Is More
News, Andrew Gluck Some months ago, Advisors4Advisors stopped sending the Daily Digest, a daily summary of top stories we thought advisors needed to read. My decision to stop sending an email daily to registered... |
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How CFP, CIMA, CIMC, CPWA, And CPA Professionals Receive Continuing Professional Education By Joining Advisors4Advisors
News, Andrew Gluck Advisors4Advisors is a continuing education sponsor for CFP, CPA, CIMA, CIMC, and CPWA professionals. A4A members receive credit by following the instructions below. |
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Fritz Meyer’s Economic Update Webinar: Some Advisor Reviews Were Harsh But The Crowd-Sourced 4.8 Star-Rating Tells The Real Story
News, Andrew Gluck An observation about the comments from advisors who attended Fritz Meyer’s November economic update: A number of the commenters were pretty harsh, but Fritz nonethless scored an incrediblly... |
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How To Use Advisors4Advisors
News, Andrew Gluck Advisors4Advisors (A4A) is different from other websites for advisors because my idea of practice management is showing you how to do stuff. What's different is that if you search A4A's... |
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A4A Will Keep You Updated On Actions Of Pertinent Congressional Committees During Last Session Of The Year
News, Lisa Gray In a post on September 21, we pointed you to an AdvisorOne article that outlined 11 Congressional committees whose actions would likely be affected by the election. Today, we'll begin to... |
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