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Spotlight News



SOCIAL MEDIA: MAKING THE PROFESSIONAL MORE PERSONAL      

From the Investments & Wealth Monitor

Social media is the ultimate tool for creating profiles that best present advisors’ personal and professional attributes.

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THE SECRETS TO EARNING A FEMALE INVESTOR’S TRUST—AND HER BUSINESS      

From the Investments & Wealth Monitor

Wealth managers will be able to succeed in the years ahead only if they know how to effectively serve female clients.

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Articles and White Papers


DEFINING WEALTH MANAGEMENT: KNOWLEDGE AND SERVICE CAPABILITIES REQUIRED FOR TODAY’S FINANCIAL ADVISORY PRACTITIONERS AND WEALTH MANAGEMENT TEAMS      

From Investments & Wealth Research

The new report defines knowledge and skills required of professional wealth management practitioners and serves as a blueprint for teams and firms to deliver competent, ethical advisory services to the public.

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THREE P’S FOR A SUCCESSFUL ADVISOR TRANSITION     

From the Investments & Wealth Monitor

Successful advisor transition requires the right people, detailed strategic planning, practical execution on an appropriate timeline, as well as proactive communication and accountability.

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MAKING THE BUSINESS CASE FOR ESG   

From Knowledge at Wharton

IWI Executive Education Partner

Wharton’s Katherine Klein talks with Wharton management professor Witold Henisz about how investors can evaluate environmental, social, and governance (ESG) criteria and why they should deeply engage with firms if they want to effect change.

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FINANCIAL PREFERENCES AND PRIORITIES BY DEMOGRAPHIC GROUP    

From the Investments & Wealth Monitor

An analysis of demographic groups and how they differ regarding financial well-being, attitudes, and life circumstances can open new opportunities for advisors.

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MANAGING MISBEHAVIOR: RATIONAL CHOICE IN AN UNCERTAIN RETIREMENT     

2022 Journal Research Award, from the Retirement Management Journal

This article investigates the application of behavioral science to decumulation to help investors make better choices and maintain quality of life in retirement.

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ASSESSING MARKET VULNERABILITY AND RISK   

From the Investments & Wealth Monitor

To adequately gauge a client’s portfolio risk, advisors must understand historical market behavior and today’s market vulnerabilities.

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Latest Discussions

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Online Education and Podcasts


THE TRUST MANDATE   

Exceptional Advisor Podcast

Herman Brodie, the founding director of Prospecta Limited and author of The Trust Mandate, discusses how investment advisors can build trust with their clients and how investment advisors can address two key behavioral issues of great concern to their retired and soon-to-be-retired clients.

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DON’T FIGHT THE FED 

Exceptional Advisor Podcast

Liz Ann Sonders, managing director, chief investment strategist, Charles Schwab & Co., discusses the most important takeaways for advisors and investors in light of Russia’s invasion of Ukraine and the Fed increasing its benchmark federal-funds rate by a quarter percentage point to a range between 0.25 percent and 0.5 percent.

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ROTH CONVERSIONS IN 2022   

Exceptional Advisor Podcast

Robert S. Keebler, CPA/PFS, MST, AEP (Distinguished), a partner with Keebler & Associates, LLP, discusses the reasons why 2022 may be an especially effective year to consider a Roth IRA conversion.

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IT'S TIME TO TAKE SIDES W/ JONATHAN PAIN   

Exceptional Advisor Podcast

Jonathan Pain, author and publisher of the widely read investment newsletter, The Pain Report, talks with host Robert Powell about Russia’s invasion of Ukraine, its impact on the global economy, and how advisors might reposition their clients’ portfolios given the current state of affairs.

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BIOLOGY, COMPLEXITY, AND THE BENEFITS OF BIAS      

On-Demand Recording

The popular conception of behavioral finance emphasizes human irrationality and suboptimal decision-making. An alternative view focuses on the ecological factors that have shaped human decision-making and highlights its contextual rationality. This approach also emphasizes the obstacles to changing human behavioral tendencies and highlights instead organizational design as a remedy for these tendencies.

1 Hour of CE Credit.

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DEPROGRAM YOUR IDEA OF ETHICS       

Video from InvestmentNews at the Investments & Wealth Forum

The Wharton School of the University of Pennsylvania Professor Peter Conti Brown shares why advisors need to deprogram their idea of ethics and separate it from legality. By doing so, he believes advisors can unlock tremendous value by exploring what he calls 'grey areas.'

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Blogs



REGULATION BEST INTEREST: IS IT WORKING?    

From Washington Insights, May 2022

This month’s Washington Insights column examines the question of whether Regulation Best Interest (Reg BI) is working as intended. Reg BI went into effect nearly two years ago and was designed to enhance investor protection and, to an extent, level the playing field between brokerage firms and investment advisors providing investment advice to retail investors.

Read at Washington Insights

Institute Blog: Investment Sense

  • In retirement, there are at least nine risks that households will face. Those include systematic risks: including political (public policy and inflation) and business (market, issuer, income) and unsystematic risks: including behavioral (spending) and chance (household shocks, heath care and...
  • The past 18 months will be written about in the history books and taught in schools; movies will be made, and books written. In addition to our personal...
  • Protect, Live, Dream Odysseus, the Greek king of Ithaca, is best remembered for his arduous 10-year journey home after the Trojan War, as well as the Trojan Horse he used to gain surreptitious access to enemy...


Professional Development

INSTITUTE PROFILES:

Ashok S. Ramji, RMA®, CFP®, CDFA®, CHFC®, CLU®, RICP®

"There’s more confidence post-RMA® certification. It helps the clients, it helps me. The RMA® curriculum provides a framework for looking at things truly across the silos.”

Read Ashok's Story




Institute Announcements

  • Investments & Wealth Institute Releases ‘Defining Wealth Management’ Report

    The Investments & Wealth Institute’s (the Institute) 2022 ‘Defining Wealth Management’ report will be included as a special supplement to the March/April issue of the Institute’s Investments & Wealth Monitor, which will be published this month. The report serves as a blueprint for sole-proprietor practitioners, teams, ...
  • Investments & Wealth Institute Details Effectiveness of Diversity/Equity/Inclusion Focus

    Investments & Wealth Institute, the premier professional association, education provider and standards body for financial advisors, released their 2021 Impact Report focused on the organization’s initiatives to support Diversity, Equity and Inclusion (DE&I) in the financial services industry.
  • Investments & Wealth Institute’s ACE Academy 2022 Returns to an In-Person Experience in Nashville

    The Investments & Wealth Institute will bring ACE Academy 2022 to the Nashville Music City Center from May 15-18, 2022. Advisors from across the U.S. will reunite with key industry executives, decisions makers and individuals shaping the future of wealth management. Financial professionals are invited to register now, ...

Institute Events





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