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Spotlight News



10 WAYS TO BUILD AND ENHANCE YOUR ADVISORY PRACTICE

Sponsored by Allianz Life Insurance Company of North America (Allianz)

Whether your practice is long-established or just beginning, this ten-step list from Allianz may help you bring out the best in your business.

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INVESTMENT MANAGEMENT SUPPORT FOR ADVISORS: USING OUTSIDE RESOURCES

Sponsored by Fidelity Investments

Selectively outsourcing investment management may allow advisors to focus on holistic financial planning and evolve the client experience.

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Articles and White Papers

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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RIAS ARE EVOLVING WITH C-SUITE SPECIALIZATION EMERGING  

From InvestmentsNews

RIAs are adding professional managers beyond the founding group of advisers. With this evolution they can finally achieve the levels of growth and profitability the advisers envisioned upon launching their firm.

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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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CONSIDERATIONS IN CHOOSING A WEALTH ADVISORY PLATFORM

Sponsored by Fidelity Investments

Is your platform enabling you to be as productive as you can be? Is your portfolio construction efficient but not cookie-cutter? What about support and security? It's not always easy to know what to look for in a wealth management platform. These five must-have capabilities can help you deliver tomorrow's results—today.

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CLIENT SEGMENTATION AND ITS IMPACT ON GROWING ENTERPRISE VALUE: A FACILITATED DISCUSSION WITH THREE SUCCESSFUL ADVISORS

From the Investments & Wealth Monitor

We asked three advisors for their insights about focusing practices and serving clients through segmentation.

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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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Latest Discussions

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CREATING AND COACHING A COHESIVE TEAM

From the Investments & Wealth Monitor

Helping team members achieve their professional and personal goals will pay dividends in client satisfaction, growth, and loyalty.

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ENGAGING CLIENTS IN THE 'NEW NORMAL'

From the Investments & Wealth Monitor

The past year has offered a crash course in the importance of technology and communication. Advisors should invest the most they can in technology and be proactive about client communication.

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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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LEADERSHIP, ENGAGEMENT, AND SUCCESS IN A POST-PANDEMIC WORLD

From the Investments & Wealth Monitor

Advisors are experts at helping clients with risk, volatility, and uncertainty, but excellent planning skills couldn’t protect the financial services industry from the pandemic.

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HOW CAN FINANCIAL INSTITUTIONS PREPARE FOR AI RISKS?

From Knowledge@Wharton

IWI Executive Education Partner

Artificial intelligence (AI) technologies hold big promise for the financial services industry, but they also bring risks that must be addressed with the right governance approaches, according to a white paper by a group of academics and executives from the financial services and technology industries, published by Wharton AI for Business.

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INTRODUCING ALLIANZ ADVISORY SOLUTIONS

Sponsored by Allianz Life Insurance Company of North America (Allianz)

Allianz has committed dedicated resources and are invested in helping registered investment advisors (RIAs) integrate risk management solutions as a part of a comprehensive wealth management practice.

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Institute Blog: Investment Sense


Professional Development

WEALTH MANAGEMENT ACCELERATOR PROGRAM

September 1 - December 8

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 and consolidated it into a three plus month intense, focused timeline to empower you to earn your Certified Private Wealth Advisor® (CPWA®) certification in record time. Do you have the drive it takes to succeed? This program is limited to 50 accelerators so book your spot by August 25th. Complete your CPWA® certification from Sept. 1 to Dec. 8, 2021.

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100-DAY ADVISOR CHALLENGE: FALL EDITION

September 20 - November 30

This academic commitment isn’t for everyone. It will take determination, perseverance, and grit. It was designed for competitive professionals looking to challenge themselves over a period of 100 days. You will be pushed to approach things through a new lens, adopt new habits, and solve complex problems using our Retirement Management Advisor® framework. Throughout your journey, you’ll have a team of top practitioners motivating and encouraging you. You’ll have exercises, case studies, and thought-provoking discussions. The final step in your fall 100-Day Advisor Challenge culminates with a rigorous exam. As a reward, you will earn bragging rights as a retirement expert! Upon passing the exam, you will be able to proudly showcase your Retirement Management Advisor® or RMA® credentials.

Apply by September 13, 2021 with promo code FALL100AC to save $500!

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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

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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THE FIVE TRENDS THAT WILL DEFINE THE POST-PANDEMIC WORLD

On-Demand Recording

Even before the 2020 global pandemic hit the world in earnest, the global economy was in a precarious place. Dambisa Moyo will chart the five key macroeconomic trends that will dominate the post-COVID era, with a focus on investable ideas and opportunities for returns in the coming challenging world.

1 Hour of CE Credit.

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TEAM TOPICS

On-Demand Recording

Advisors are increasingly teaming up to better address the unique needs of affluent clients, but they must learn to accommodate team members’ differences in personality, processes, and motivation to be successful.

5 Hours of CE Credit.

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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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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.

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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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ETHICAL MANAGEMENT FOR FOUNDATION & ENDOWMENTS CONSULTING

On-Demand Recording

The marketplace for advisors in the non-profit space is substantial. Advisors and consultants can differentiate themselves by ethically serving these institutions, and facilitating effective fiduciary governance. Scott Thayer, CIMA®, discusses why ethics matters, how to facilitate group decision-making, and how to help govern accordingly.

1 Hour of CE Credit.

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THE VIRTUAL CLIENT EXPERIENCE: FROM CONVERSATION TO TRANSFORMATION

On-Demand Recording

Sponsored by RBC Wealth Management

Opportunities are born in times of challenge. Do not let this opportunity to engage your clients in a new and dynamic manner pass you by. For years, we have taken for granted the ability to spend time face-to-face with a client. It is not too late to turn your client conversations into connections that evolve into meaningful, long-lasting relationships. Your competition is not the advisor down the street; it is the device (and much more) in your client’s hand that you are competing with. In this recording, we will talk about how you can still create enriched relationships virtually.

1 Hour of CE Credit.

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EXCEPTIONAL ADVISOR®: COMMUNICATE YOUR VALUE & BUILD CLIENT ENGAGEMENT

Course

In this online course, participants will learn how to communicate the value of their ethics and expertise to clients based on research by AbsoluteEngagement.com. Discover the characteristics of an Exceptional Advisor®, and learn how to develop communication and action plans designed to: better understand what clients consider important, provide meaningful guidance, demonstrate advanced knowledge through your credentials, and highlight your commitment to ethics by leveraging the Investments & Wealth Institute® Code of Professional Responsibility.

5 Hours of CE Credit.

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