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Financial Planning
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financial-planning@www.financial-planning.com
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Financial Planning delivers the essential analysis and insight that independent advisors need to make informed decisions about their businesses and the clients they serve. The only information resource dedicated to the needs of the independent financial planner, Financial Planning provides analysis and breaking news, opinion and expert advice, and practical business-building ideas. Coverage is sharply focused on what matters most to advisors — their clients (building relationships), their practice (building and managing their business, deploying technology), and managing their client's portfolios. The Financial Planning community is deeply engaged through interactions on social media, research panels and an authoritative network of contributors. As advisors optimize their practices' investment performance and client service in a complex, highly regulated industry, Financial Planning delivers actionable and insightful content.

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financial-planning@www.financial-planning.com
212-803-8200
Arizent One State Street Plaza, 27th floor New York, NY 10004
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172 Posts
Morningstar’s annual conference: Days 2 and 3 takeaways, plus SWAG and what people wore
From retirement and inflation to Putin and the best corporate desk toys, we have the details.
Morningstar’s annual conference: Days 2 and 3 takeaways, plus SWAG and what people wore
How innovation leads to compliance challenges for growing fintech industry
Regulators and industry insiders talked about the hottest topics in fintech during FINRA’s annual conference.
How innovation leads to compliance challenges for growing fintech industry
Ally’s wealth business adds humans to complement robo advisors
The new service, which will offer one-on-one advice, is open to people with at least $100,000 in investable assets. It’s part of the company’s ongoing efforts to build a full suite of retail banking products.
Ally’s wealth business adds humans to complement robo advisors
Robo advisors and brokerage apps under SEC scrutiny again
In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.
Robo advisors and brokerage apps under SEC scrutiny again
Cambridge ordered to pay bank over ‘aggressive’ client solicitation
More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.
Cambridge ordered to pay bank over ‘aggressive’ client solicitation
6 client management tips for advisors
Running an advisory practice is a complex business, but wealth managers have access to resources, strategies and recommendations that can help.
6 client management tips for advisors
Aussie fintech firm launches family-focused platform in the U.S.
Lumiant brought on a former Envestnet exec to lead the fintech company that wants to help advisors strengthen client relationships by engaging family members often overlooked by planners.
Aussie fintech firm launches family-focused platform in the U.S.
SEC, FINRA: Act and 'fess up early to reduce compliance risk
With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.
SEC, FINRA: Act and 'fess up early to reduce compliance risk
The impact of new IRS proposed regulations on the SECURE Act
Proposed regulations provide the best window into the IRS’s current thinking on a variety of issues to date.
The impact of new IRS proposed regulations on the SECURE Act
7 ways clients can benefit from an advisor’s transition
Many advisors cite “improving client service” as the catalyst for a move — but knowing what the real impact will be is critical.
7 ways clients can benefit from an advisor’s transition
Best advisor pay for the $400K producer
Our annual analysis of core compensation components at wirehouses, regional and national BDs.
Best advisor pay for the $400K producer
Morningstar’s annual conference: Surprising Day 1 highlights
‘Active personalization’, ‘friend-shoring’ and SUVs over Formula 1 race cars.
Morningstar’s annual conference: Surprising Day 1 highlights
Target-date funds: 4 ways they can be set it and regret it
From taxes and fees to allocations and changes in investor preferences, the go-to option in many 401(k)s can have drawbacks.
Target-date funds: 4 ways they can be set it and regret it
Thematic ETFs meet pushbacks from academics and financial advisors
A study by the EU Business School found that thematic ETFs have higher expenses, higher risks and lower diversification.
Thematic ETFs meet pushbacks from academics and financial advisors
SEC’s Gensler sees ‘opportunity’ for tougher complex product rules
Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.
SEC’s Gensler sees ‘opportunity’ for tougher complex product rules
What to expect in financial advisor pay in 2022
The largest brokerages are looking to stabilize and simplify as the desire to avoid “rocking the boat” increases.
What to expect in financial advisor pay in 2022
T3 2022: 7 fintech announcements from the conference you may have missed
The long awaited fintech conference returned with a slate of new tools designed to improve life and work for advisors.
T3 2022: 7 fintech announcements from the conference you may have missed
Wells Fargo names new head of its financial advisory unit
The former JPMorgan Chase executive will will replace Jim Hays, who is retiring.
Wells Fargo names new head of its financial advisory unit
JPMorgan builds global bet to manage fortunes of the ultrarich
JPMorgan has hired at least a dozen private-banking execs in the past year to expand the firm’s global operations for the world’s ultrarich.
JPMorgan builds global bet to manage fortunes of the ultrarich
The pros and cons of pretax vs. after-tax Roth contributions
Growing savings more rapidly and maximizing employer matching contributions are among the reasons to favor pretax contributions.
The pros and cons of pretax vs. after-tax Roth contributions
Wealth Briefs: Envestnet launches retirement platform, PIABA and FINRA agree on complex products, and Northwestern Mutual invests in Black-led CDFIs
A roundup of the bits of wealth management news you might have missed over the last week.
Wealth Briefs: Envestnet launches retirement platform, PIABA and FINRA agree on complex products, and Northwestern Mutual invests in Black-led CDFIs
Mergers & Moves: Raymond James, LPL take on new teams, while J.P. Morgan, Advisor Group and others tap new leadership
A roundup of advisors on the move, executive appointments and other M&A activity this week in wealth management.
Mergers & Moves: Raymond James, LPL take on new teams, while J.P. Morgan, Advisor Group and others tap new leadership
6 crypto trends for wealth managers to watch in 2022
Digital currencies are no longer a curiosity, but a key investment opportunity advisors are starting to consider.
6 crypto trends for wealth managers to watch in 2022
Digitalize to survive: Meeting evolving expectations of ultrahigh net worth investors
Older, wealthier customers are eager for more digital interactions, according to a study, and are increasingly ready to switch firms to obtain these and other services.
Digitalize to survive: Meeting evolving expectations of ultrahigh net worth investors
Rap legend Big Boi of Outkast joins Future Proof Festival lineup
Hip-hop icons and industry thought leaders will collide in California during the wealth management festival that’s looking to buck the status quo.
Rap legend Big Boi of Outkast joins Future Proof Festival lineup
$1B RIA returns to Dynasty as record metrics bring added complexity
With a new high in firms and financial advisors in the channel, an increasing array of competitors are pitching themselves as the edge.
$1B RIA returns to Dynasty as record metrics bring added complexity
Why a strong defense is the best offense with Spuds Powell
The market doesn’t always play fair. Find out why Spuds Powell is always ready when the going gets tough.
Why a strong defense is the best offense with Spuds Powell
Don’t call it a comeback: Joel Bruckenstein looking to create FOMO in 2023 after biggest T3 ever
The fintech event producer is riding high after a successful return, but the pressure is on to exceed expectations next year.
Don’t call it a comeback: Joel Bruckenstein looking to create FOMO in 2023 after biggest T3 ever
Hopes for Social Security reform likely dead under Biden tax pledge
A crucial loss of support for a bill co-sponsored by 200 House Democrats reflects the worsening political calculus for fixing the program’s solvency.
Hopes for Social Security reform likely dead under Biden tax pledge
How financial advisors can help clients with retirement by planning early
An Edward Jones study found that financial advisors can play a huge role in the well-being of retirees by helping to start the planning process early.
How financial advisors can help clients with retirement by planning early
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