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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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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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Articles and White Papers

SURVEYS SHOW ADVISORS UNDERESTIMATE CLIENTS’ INTEREST IN ESG   

From the Investments & Wealth Monitor

Advisors must bridge disconnects between how they approach ESG investing with clients and the willingness of clients to embrace this manner of investing.

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ARE TEAMS BETTER THAN INDIVIDUALS AT GETTING WORK DONE?   

From Knowledge@Wharton

IWI Executive Education Partner

Wharton’s Duncan Watts talks with Wharton Business Daily about his research on whether teams or individuals are better at accomplishing tasks.

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FINANCIAL ADVISOR FEE TRENDS AND THE FEE COMPRESSION MIRAGE  

From the Investments & Wealth Monitor

Research on financial advisor pricing models has provided insights into how much advisors are charging and the types of pricing options offered.

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WHAT’S THE FUTURE OF THE OFFICE? 

From Knowledge@Wharton

Wharton management professor Peter Cappelli, who has for decades studied the forces shaping and changing the workplace, says the choices employees and employers must make about the future of work could be among the most important they face.

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RIA CONSOLIDATION: ADDRESSING A COMPETITIVE YET EXPANDING MARKET OPPORTUNITY

From the Investments & Wealth Monitor

Mergers and acquisitions will be driven by advisor retirements, migration to the independent model, and existing growth-challenged registered investment advisory firms.

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EXPLORING THE DECADE OF GENERATIONAL WEALTH  

Sponsored by Fidelity Investments

As a group, baby boomers are hitting critical age milestones. They are moving from accumulation to spending and from investing to transferring or selling off assets. And they are preparing for significant future health and long-term care costs. The growth of an advisor’s business in the next 10 years  will likely be shaped by how they engage boomers and their families as they navigate the coming generational transitions.

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THE FUTURE OF WEALTH MANAGEMENT 

From the Investments & Wealth Monitor

Wealth advisors will need to anticipate changes and adapt their practices to respond to the every-changing wealth management landscape and meet clients’ goals.

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DIGITAL EMPOWERMENT: HOW TECHNOLOGY IS DRIVING THE FUTURE OF WEALTH MANAGEMENT   

Sponsored by Fidelity Investments

Historically, the wealth management industry has been slow to change, and even slower to embrace new technology. For years, fee compression, changing client expectations, and an increasingly dynamic competitive landscape have dominated the conversation around the forces that are shaping the industry. Where some firms have faced these challenges head-on with new investments in technology and shifts in strategy, many others seem to be unaware of the real value of technology and have largely stayed the course.

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MACHINE LEARNING FOR INVESTMENT MANAGEMENT

From the Investments & Wealth Monitor

This article provides a primer on the topic of machine learning to familiarize advisors with how it works and explores some of its applications to the world of investment management.

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SUSTAINABILITY AND SUCCESSION: FOUNDATION OF A POWERFUL ENTERPRISE  

From the Investments & Wealth Monitor

Succession planning is about building a sustainable enterprise and a stronger, investable business structure.

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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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A MODEL APPROACH FOR EVOLVING TIMES  

From the Investments & Wealth Monitor

Third-party models can help advisors meet client expectations, achieve the growth they desire, and meet ever-evolving regulatory requirements and other industry challenges.

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TRENDS IN INVESTOR PREFERENCES: GENDER CONSIDERATIONS AND CLIENT ENGAGEMENT

From Investments & Wealth Research

A study in two parts. Cerulli Associates examines investor preferences through the gender lens to highlight considerations for advisors as the industry tries to better engage with historically underserved segments of the population. The second part focuses on broader trends in advisor and client engagement.

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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...
  • 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 Institute Announces 2021 Investment Advisor Forum and Women in Wealth Event

    The Investments & Wealth Institute (IWI), the premier professional association, education provider, and standards body for financial advisors, today announced details for their December 7 and 8, 2021 virtual conference, the Investment Advisors Forum (IAF), as well as information related to a special ...
  • Investments & Wealth Institute's New Alliance Expands Member Benefits to Include Fiduciary Expertise

    Investments & Wealth Institute, the leading financial organization individuals and firms turn to for advanced professional development, today announced an alliance with Broadridge Financial Solutions to broaden its membership offering with premier fiduciary education and technology tools.  Institute ...
  • The Institute and Association of Professional Fund Investors Form Strategic Alliance

    CIMA® Certification recognized as global standard for fund allocators. Two associations for investment practitioners who are committed to competent and ethical practice of investment management analysis and fund allocation have formed a multi-year strategic alliance to raise the bar of professionalism ...


Online Education and Podcasts

CREATING HIGH-PERFORMING TEAMS

On-Demand Recording

High performance teams aren't created by luck. They come from a deliberate process of nurturing talent, creating clear goals, guidelines, and offering the right tools to meet those goals. All of this is managed by the team leader who has gained significant self-awareness of his or her own strengths and weaknesses.

1 Hour of CE Credit.

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IS SERVICE A SUSTAINABLE COMPETITIVE ADVANTAGE? 

On-Demand Recording

In light of the Coronavirus “new normal” wealth managers are competing with world-class service providers like Amazon and Google more than ever. Understand how high the virtual service bar is and engage your team to ensure you are equipped to compete and excel in the new virtual service environment.

1 Hour of CE Credit.

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WE NEED TO TALK: A MEMOIR ABOUT WEALTH W/ JENNIFER RISHER 

Exceptional Advisor Podcast

Robert Powell, the editor of the Retirement Daily at TheStreet interviews Jennifer Risher, author of We Need to Talk, on an experience that millions share but no one discusses: what it's like to be rich. Risher, who joined Microsoft in 1991 and “got lucky”, talks about the hidden impact of wealth on identity, relationships, and sense of place in the world and what advisors need to know when dealing with wealthy clients. 

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DRIVERS OF ENTERPRISE VALUE

On-Demand Recording

In the world of financial advisory practices, the chief drivers of enterprise value are organizational, not financial. They're also intrinsically linked to the value you create for clients, and begin with your practice's ability to not only survive but also to thrive without you. How do you achieve this goal and equip your practice to deliver on the desires of your clients? The answer lies in the dreaded, overused word: holistic. Join Ray Sclafani as he calls for a shift in thinking from driving revenue to driving value.

1 Hour of CE Credit.

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BECOMING GUIDES FOR CHANGING LANDSCAPES, NOT DEFENDERS OF OUTDATED MAPS W/CARL RICHARDS 

Exceptional Advisor Podcast

Certainty is easy to sell, but impossible to deliver. Robert Powell, the editor of Retirement Daily at TheStreet, interviews Carl Richards, CFP®, creator of the New York Times Sketch Guy column, on the importance of acknowledging uncertainty and demonstrating empathy with clients—especially during turbulent, uncertain times. This episode offers candid perspectives on how advisors are getting it right and what work might still need to be done to continue to humanize the financial planning process.

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PRACTICAL STRATEGIES FOR MANAGING INVESTOR BEHAVIOR  

On-Demand Recording

This series distills practical tools and processes that can be implemented to try to improve investor behavior. This series will train advisors to consider behavioral outcomes when building portfolios, create greater client understanding, deepen client relationships, and improve competitive differentiation.

3 Hours of CE Credit.

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THE ETHICAL DILEMMA 

On-Demand Recording

Jeff Kluge worked as a financial advisor for Merrill Lynch for 25 years. He earned the CIMA® certification in 2003 and CPWA® certification in 2008, both of which were relinquished in 2016, before he pleaded guilty in 2017 to two counts of bank fraud. In prison, he searched for answers about why he made the choices he’d made and how to rebuild his life. He studied philosophers and other authors, classical and contemporary, and noticed recurring themes about ethics and happiness. Now back at home in Minneapolis, his mission is to share what he has learned, help people avoid personal and professional mistakes, and show them how to lead happier lives.

1 Hour of CE Credit.

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THE WISDOM OF FINANCE: DISCOVERING HUMANITY IN THE WORLD OF RISK AND RETURN

On-Demand Recording

Finance has often been perceived as a business of swindling and deceit, and as a boring matter of spreadsheets and numbers. What makes both these impressions problematic is that finance is actually the lifeblood of our economy, as well as a moral and creative pursuit. Yet it lacks nearly any defenders on these grounds. Until now, that is. In this presentation, Professor Mihir Desai examines, through the prism of literature and moral philosophy, how finance betters individuals and the world.

1 Hour of CE Credit.

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WHAT WE LEARN FROM LOSS W/ RABBI STEVE LEDER 

Exceptional Advisor Podcast

Robert Powell, the editor of Retirement Daily at The Street, interviews Rabbi Steve Leder, senior rabbi of Wilshire Boulevard Temple in Los Angeles, on his new book, The Beauty of What Remains; How Our Greatest Fear Becomes Our Greatest Gift. This episode explores what can be learned from loss and some important questions around the tough topic of death—grief, legacy, and the beauty of what remains.

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