The Center for RIA Excellence

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.

IF YOU GIVE ROLLOVER ADVICE TO IRA OWNERS, ACT NOW: THE COMPLIANCE DEADLINE HAS PASSED       

From the Investments & Wealth Monitor

Any fiduciary advisor who recommends that a client move assets from a plan to an individual retirement account risks engaging in a prohibited transaction if the advisor is paid as a result of the recommendation.

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IT’S NOT JUST ASSETS UNDER MANAGEMENT ANYMORE: HOW AND WHY ADVISOR FEE MODELS ARE CHANGING        

From the Investments & Wealth Monitor

Forward-thinking advisors are rethinking their fee models, which must be transparent and create a fair alignment between the price paid and the value of services.

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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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SURVIVING MARKET VOLATILITY W/BILL FEAKES  

Exceptional Advisor Podcast

New York Life Retail Annuities Regional VP Bill Feakes discusses market volatility, helping investors keep things in perspective and building retirement strategies to manage through economic uncertainty.

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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.

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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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Blogs

SEC MOVES CLOSER TO DOL FIDUCIARY REQUIREMENTS FOR SERVICE PROVIDERS        

From Washington Insights, December 2022

Washington Insights reviews a proposed rule by the Securities and Exchange Commission that would require registered investment advisers to apply a due diligence process to the selection and monitoring of service providers to their firms. The Department of Labor previously identified a similar need for Employee Retirement Income Security Act fiduciaries to prudently select and monitor a plan’s service providers.

Read at Washington Insights