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Spotlight News



INVESTMENT DATA COMPLIANCE: REVISED SEC GUIDELINES FOR 2021 AND BEYOND  

From the Investments & Wealth Monitor

Revised SEC rules seek to replace four per se prohibitions with broad, principles-based guidelines that, regulators believe, will provide the necessary flexibility as technology and the industry continue to evolve.

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EVALUATING THE IMPACT OF PRIVATE EQUITY IN A 60/40 PORTFOLIO

From the Investments & Wealth Monitor

Adding an allocation to private equity may better position investors to achieve their long-term financial goals.

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Articles and White Papers

WHY SPACS ARE BOOMING   

From Knowledge@Wharton

IWI Executive Education Partner

SPACs have been one of the “most spectacular” developments in financial markets in recent years, according to Wharton finance professor Joao Gomes. He moderated a recent Wharton Executive Education virtual event titled “Understanding SPACs,” where Wharton finance professors Nikolai Roussanov and Itamar Drechsler explained how SPACs work and their pros and cons for investors.

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BUILDING A SUCCESSFUL PRIVATE EQUITY PORTFOLIO FROM SCRATCH: A PRACTITIONER'S GUIDE  

From the Investments & Wealth Monitor

This article discusses key considerations for building and managing a private equity portfolio.

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THE FUTURE OF FINANCIAL PLANNING IS INTELLIGENT: GOOD NEWS FOR ADVISORS 

From the Investments & Wealth Monitor

Technology is disrupting advisors’ businesses, but it’s providing a clear path to establish value in clients’ lives. Artificial intelligence can make financial planning a better experience for you and your clients.

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CHALLENGES TO THE ASSET MANAGER AND FINANCIAL ADVISOR VALUE CHAIN: THE IMPACT OF THE CORONAVIRUS CRISIS

From the Investments & Wealth Monitor

A crisis exposes the strengths and weaknesses of any business. High-quality relationships will keep a business afloat through a crisis—and help it to grow in the aftermath.

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TRENDS IN WEALTH AND ASSET MANAGEMENT

From the Investments & Wealth Monitor

An interview with T. Neil Bathon, founder and partner of FUSE Research Network.

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SMALLER, BIGGER, AND BETTER TRENDS IN THE BUSINESS OF FINANCIAL ADVICE

From the Investments & Wealth Monitor

Different types of firms appeal to different types of advisors and different types of investors. Firms need to be clear about the types of clients they wish to serve.

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WHY REGULATION WON’T HARM CRYPTOCURRENCIES

From Knowledge@Wharton

IWI Executive Education Partner

The confirmation on April 14 of Gary Gensler as chairman of the Securities and Exchange Commission has fueled worries that increased regulation of cryptocurrencies would hurt trading volumes and prices and stifle innovation in the nascent segment, and prompt industry participants to flee to less stringent jurisdictions. However, those fears are unfounded, and tighter regulation could purge the industry of bad actors and engender trust, which in turn would help it grow, according to Brian Feinstein and Kevin Werbach, Wharton professors of legal studies and business ethics.

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FACTOR TILTS AND ASSET ALLOCATION

From the Journal of Investment Consulting

Factor investing has received much attention from academics and practitioners, as well as from individual and institutional investors. It has become usual for investors that aim to enhance returns to add to the core of their portfolios a factor satellite, thus tilting their portfolios toward factors that have produced a long-term risk premium.

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BEHAVIORAL FINANCE IN INVESTING: THE EXISTENCE AND IMPORTANCE OF ‘INVESTMENT TRIBES’ AND RISK-PREFERENCE DIVERSITY

2021 IWI Journal Research Award Winner, from the Journal of Investment Consulting

Using case studies of two investment companies, this paper highlights that organizations may have “investment tribes,” i.e., groups of individuals who appear to exhibit similar risk tendencies for gambles involving gains or losses, possibly with a wide spread of risk preferences.

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GENERATE YIELD USING PRIVATE REAL ESTATE

From Financial Advisor Magazine

The Institute's recent webinar, sponsored by the Black Creek Group, a Denver-based real estate investment management firm, presented the case for investing in private commercial real estate.

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ENVIRONMENTAL, SOCIAL, AND GOVERNANCE INVESTING: MYTHS VERSUS REALITY

2021 IWI Writing Award: Honorable Distinction, from the Investments & Wealth Monitor

Environmental, social, and governance investing is not a fad; it reflects the changing nature of capital markets in which nonfinancial factors are quantifiable drivers of return.

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NONLINEAR FACTOR ATTRIBUTION

2021 IWI Journal Research Award: Honorable Distinction, from the Journal of Investment Consulting

Factor attribution based on linear regression often fails to satisfactorily explain the performance of systematic investment strategies. Sizeable attribution residuals that do not average out to zero over time suggest latent exposures to nonlinearities in factor returns. Our proposed adjustment takes a portfolio manager’s perspective in attributing the impact thereof, identifying which factor tilts were most responsible for the unexplained performance.

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Institute Blog: Investment Sense


Professional Development




Institute Announcements

  • Enroll By August 25 for the Wealth Management Accelerator Program

    Are you an accelerator? Spend the next three plus months propelling your career forward with the actionable tools and education you need to become a private wealth expert. This is for the advanced professional, the go-getter, the competitor. We have taken six months of premier content and practical instruction ...
  • Fall 100-Day Advisor Challenge Will Reward Challengers and Help Better Serve Retirement Clients

    In the increasingly competitive global market, the Investments & Wealth Institute issued a new fall 100-Day Advisor Challenge to ambitious professionals looking to push themselves and expand their skillset. The fall Advisor Challenge begins September 20, 2021, and will push Challengers to build strong retirement management ...
  • The Investments & Wealth Institute Brings the First Annual Diversity & Inclusion Week, June 14-20

    The Institute's Diversity & Inclusion Week, June 14-20, 2021, aims to accelerate & diversify the composition within the industry's highest levels, create cultures of inclusivity, and widen the pathways to senior-level leadership roles across the industry for those currently underrepresented.

Institute Events



Online Education and Podcasts

WHAT YOU NEED TO KNOW ABOUT COVID-19 AND THE GLOBAL RECOVERY

On-Demand Recording

What are the latest COVID-19 developments? How is it looking for the global economy? In this timely, informative talk, Dr. Ashish Jha, Dean of the Brown University School of Public Health, and Jared Franz, Capital Group economist, discuss COVID-19 and the recovery.

1 Hours of CE Credit.

Learn More

A PRACTICAL APPROACH TO BEHAVIORAL GUIDANCE

Exceptional Advisor Podcast

Robert Powell, the editor of Retirement Daily at The Street, interviews John Nersesian, CIMA®, CPWA®, CIS, CFP®, Head of Advisor Education, PIMCO, on providing behavioral guidance to clients and how advisors can best help their clients avoid costly mistakes.

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BEST OF ACE ACADEMY

On-Demand Recording

This year’s “best of” bundle features some of the most-highly rated sessions from the 2021 ACE Academy conference with a slant toward the future of investment and wealth management in the face of disruption. These industry thought-leaders are eager to share their different perspectives, insights, and projections for the opportunities to watch and challenges to anticipate to move your career and business forward in this post-pandemic world.

4.5 Hours of CE Credit.

Learn More

REGULATIONS THAT IMPACT ADVICE TO RETAIL INVESTORS

Exceptional Advisor Podcast

Robert Powell, the editor of Retirement Daily at The Street, interviews Duane Thompson, AIFA®, President, Potomac Strategies, LLC on the major changes to the Securities and Exchange Commission’s advertising and marketing requirements for registered investment advisers. They talk legislative updates and discuss Reg BI.

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GLOBALIZATION IN A POST PANDEMIC WORLD

On-Demand Recording

Even before the global pandemic hit in earnest in early 2020, there was notable evidence that globalization—the tenet that had buttressed 30 years of global economic progress—was unwinding, and that rising protectionism would drive global growth lower. Noted economist Dambisa Moyo, PhD, explores the following: the five pillars of globalization, why they are declining, how things have changed in a post-pandemic world, the investment implications of these changes, and untapped opportunities (e.g., markets, regions, sectors).

1 Hour of CE Credit.

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THE INVESTMENT CONSULTING PROCESS

Course

The Investment Consulting Process is an online course that explores the five-step investment consulting process for professionals new to the industry, or for those looking to deepen their understanding of the role of the investment advisor in a prudent process that serves the client.

10 Hours of CE Credit.

Learn More

OPTION STRATEGIES FOR ADVISORS

On-Demand Recording

Overcome confidence hurdles when using options. This online course, written and developed by the Options Industry Council (OIC), provides advisors essential knowledge and skills related to using options, as well as practical strategies that can be immediately implemented.

8 Hours of CE Credit.

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CAPITAL ALLOCATION IN TAXABLE HIGH-NET-WORTH PORTFOLIOS IN THIS UNCERTAIN TIME

On-Demand Recording

Check out this on-demand recording to learn about the strategic design of taxable investment portfolios. Explore where family offices may be searching for opportunity and addressing risk given the roaring stock market, low-interest rates, uncertain economic impact of the pandemic, and the potential for higher income, capital gains, and estate taxes.

1 Hour of CE Credit.

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CREATING A ROBUST PLAN FOR EMOTIONAL INVESTORS

On-Demand Recording

Hear from Jay Mooreland, with this newly available on-demand recording. For decades the financial industry has focused on reducing investment volatility but has ignored the problem of investor behavior volatility. Many risks are known and understood by financial advisors, but this presentation will help advisors tackle the risks of investors bailing on their investment strategy by teaching them how to create and deliver a tailored strategy that accounts for the irrationality of the investor. The goal is to improve investor adherence to their financial plan.

1 Hour of CE Credit.

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