The Center for RIA Excellence

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The community for premier registered investment advisory firm principals and practitioners.


Spotlight News



EASILY INTEGRATE ANNUITIES INTO YOUR INDEPENDENT RIA BUSINESS  

Sponsored by Allianz Life Insurance Company of North America

Traditionally, Registered Investment Advisers (RIAs) have found it difficult to incorporate insurance within their unique business models. Fortunately, there have been significant industry advancements that can help easily integrate insurance into an RIA’s ecosystem. As an RIA, consider these advancements as an opportunity to expand your services, explore new potential solutions, and gain visibility into already-purchased annuities.

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SOLUTIONS TO EMERGING TAX PROBLEMS IN RETIREMENT W/WALDEAN WALL  

Exceptional Advisor Podcast

Waldean Wall, Vice President, Advanced Markets and Solutions, Allianz Life Insurance Company of North America, discusses three emerging tax problems in retirement and possible solutions, including Roth conversions, life insurance, split beneficiaries, charitable giving, and charitable trusts.

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Articles and White Papers



2022 T3/INSIDE INFORMATION SOFTWARE SURVEY 

From Investments & Wealth Research

The 2022 T3/Inside Information Software Survey ranks, by market share, the leading software solutions in advisory-firm tech stacks in 35 different categories.

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BUILDING A THRIVING AND CONNECTED FAMILY OF WEALTH          

From the Investments & Wealth Monitor

A learning plan that addresses individuals’ developmental needs can help build a strong and connected family of wealth.

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SUCCESSION PLANNING THOUGHTS AND STRATEGIES: A DISCUSSION WITH DANA ANSPACH, CFP®, RMA®, AND TOM MORRIS CFP®, RMA®       

From the Investments & Wealth Monitor

The Investments & Wealth Monitor takes you behind the scenes to uncover succession-planning thoughts and strategies from successful institute-member advisors.

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2022 CLIENT RESEARCH: THE EVOLUTION CONTINUES—GLOBAL UNCERTAINTY AND DEMOGRAPHIC SHIFTS ARE CHANGING CLIENT EXPERIENCE    

From Investments & Wealth Research

Each year Investments & Wealth Institute and Absolute Engagement survey clients to gather insights that support exceptional advisors. This article reports on findings of the 2022 survey.

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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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A NEW ASSET CLASS: INVESTING IN THE DIGITAL ASSET ECOSYSTEM       

From the Investments & Wealth Monitor

Blockchain technology will impact investing and finance, creating and expanding on a new asset class—digital assets—and will provide new currencies for conducting financial transactions.

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Latest Discussions

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Online Education and Podcasts


POSITIVE & PRODUCTIVE CLIENT COMMUNICATION—BEHAVIORAL FINANCE PRINCIPLES IN ACTION   

On-Demand Recording

Human bias is a core reason for poor client decision-making. This program will explain the neuropsychology of bias and its impact on clients. 

1 credit for CIMA®, CPWA®, and RMA® certifications.

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THE FUTURE OF WEALTH MANAGEMENT W/STEPHEN M. HORAN, PHD, CFA®, CIPM
®, CAIA®  

Exceptional Advisor Podcast

Stephen Horan, a senior strategic advisor with the Investments & Wealth Institute, discusses what wealth management is, how it’s changing, and whether it will ever become a profession.

Listen to Part One

Listen to Part Two


TEAM OF TEAMS: NEW RULES OF ENGAGEMENT FOR A COMPLEX WORLD   

On-Demand Recording

In this captivating presentation on the significance of teamwork, Gen. McChrystal draws on research conducted for his New York Times best-seller Team of Teams, to provide a 360-degree view of the role teamwork plays in today’s success equation. 

1 credit for CIMA®, CPWA®, and RMA® certifications.

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GEOPOLITICS FOR INVESTORS: COPING WITH TECHNOLOGY AND POLITICS  

On-Demand Recording

How can investors, businesses and bystanders cope in a world where technological innovation is both provoking and preventing conflict?  

1 credit for CIMA®, CPWA®, and RMA® certifications.

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LEGACY ESSENTIALS: WEALTH TRANSFER  

On-Demand Recording

Recent research suggests that many affluent clients will not choose to work with their parents’ financial professional. Explore your unique role in helping your clients leave a legacy that reflects their values and meets their most important goal. 

1 credit for CIMA®, CPWA®, and RMA® certifications.

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LEGACY ESSENTIALS: AGING WITH DIGNITY  

On-Demand Recording

One thing every financial professional has in common is an aging client base. Join us as we explore your role in helping your clients age with dignity and grace. 

1 credit for CIMA®, CPWA®, and RMA® certifications.

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Blogs



HOW THE MIDTERMS MAY (OR MAY NOT) IMPACT INVESTMENT ADVISORS        

From Washington Insights, November 2022

Washington Insights reviews the potential impact of the midterm elections on wealth managers, and by extension, a key part of the $100 trillion capital markets overseen by the Securities and Exchange Commission.

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 Announcements

  • Investments & Wealth Forum–New York City is the Event to Manage Portfolio Risk

    Registration is open for the educational event for elite advisors who want to learn about the latest tools, techniques and strategies being used to better protect clients from portfolio risk.
  • Global Uncertainty and Demographic Shifts are Changing the Client Experience

    The Investments & Wealth Institute’s 2022 Client Research shows that investor preferences, expectations about the future and engagement styles have changed and continue to change. The study, conducted by Absolute Engagement, has been published in partnership with the Institute annually since 2017 and asks clients to tell us what they need, want ...
  • Investments & Wealth Institute Names Michael Mastey as Director of Sales

    The Investments & Wealth Institute, announced today that it has named Michael Mastey as its director of sales. In this role, Mastey will lead the Institute’s sales strategy, business development initiatives and revenue generation.

Thank you to our Sponsors and Partners



 

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