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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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THE EVOLVING INVESTOR LANDSCAPE (Podcast)

Sponsored by Fidelity Investments

Fidelity's latest podcast series explores the new thinking on today's shifting wealth management industry. Check out the most recent episode that covers the evolving investor landscape, and how diversity is impacting the way advisors approach wealth management and financial planning.

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Articles and White Papers

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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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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MANAGING THE RISKS OF WORKING WITH SENIOR INVESTORS

Sponsored by Fidelity Investments

Protecting aging clients against risk is not only the right thing to do ethically, it is increasingly coming under regulatory focus.

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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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WHAT RIA FOUNDERS GET WRONG ABOUT PRIVATE EQUITY 

FromWealthManagement.com

Outside investors aren't always heavy-handed operators looking to squeeze the business for a quick, financially lucrative exit.

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Latest Discussions

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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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COMPANIES WITH WORKPLACE FLEXIBILITY SET TO HIRE MORE

From Chicago Booth Review

IWI Executive Education Partner

While businesses with financial flexibility were best equipped to weather the 2008–09 financial crisis, new research finds that in the pandemic, companies whose employees could work remotely are coming through with the best prospects.

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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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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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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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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.

Learn More

Institute Blog: Investment Sense


Professional Development




Institute Announcements

  • First Annual Wealth Week Focuses on Helping Advisors Meet the Unique Needs of High-Net-Worth Clients

    The Investments & Wealth Institute understands the challenges advisors face daily when it comes to adding value for clients. To help combat those challenges, next week, the Institute kicks off the first annual Wealth Week, September 13-19, 2021. Focused on assisting advisors learn new ways to address the unique needs of high-net-worth ...
  • The Premier Private Wealth Conference, Wealth Advisor Forum is Back September 13-14, 2021

    Wealth management professionals will learn the latest investment, tax, estate planning, charitable contribution, and next-generation strategies for their high-net-worth and ultra-high-net clients at Investments & Wealth Institute's 2021 Wealth Advisor Forum, September 13-14, 2021, in Chicago, IL. Attendees ...
  • Institute Announces 100-Day Scholarship Giveaway to Support Women in the Financial Services Industry

    The Investments & Wealth Institute recently announced a new 100-Day Women in Wealth Scholarship Giveaway. Despite recent strides, it’s no secret that the financial services industry is very male dominated.  To help women excel, thrive and expand their representation in the industry, the Institute will award 100 Women in Wealth a certification-based ...


Online Education and Podcasts

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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TALK TRIGGERS

On-Demand Recording

Turn your customers into volunteer marketers. Word of mouth is responsible for as much as 50 percent of purchases, yet almost nobody has an actual plan to generate it. This fast-paced, dynamic, modern presentation will explore a simple yet critical choice: do you want to be the same, or do you want to be different? When you offer a differentiated, talkable customer experience, it compels conversation. And, when customers talk, they recruit new customers...for free.

1 Hour of CE Credit.

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LIFE HAPPENS, PLANS CHANGE: THE IMPORTANCE OF TRANSITIONAL PLANNING W/ SUSAN BRADLEY, CFP® , CEFT®  AND ROSS MARINO, CFP® , CEFT®

Exceptional Advisor Podcast

Robert Powell, the editor of Retirement Daily at The Street, interviews Susan Bradley, CFP® , CeFT® , and Ross Marino, CFP® , CeFT® , on their new book Shaping Change: How To Respond When Life Disrupts Your Retirement Plan. This episode explores transition planning and how advisors can better serve clients when life takes unexpected turns.

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BETTER CLIENT OUTCOMES THROUGH EXTRAORDINARY TEAMWORK

On-Demand Recording

The core elements of successful teams and their clients have been isolated through research conducted by Cerulli Associates in partnership with Investments & Wealth Institute and Janus Henderson Investors, along with leading experts. Learn how you can combine these elements to transform your team with the goal to serve clients better by achieving extraordinary results.

1 Hour of CE Credit.

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BEING LIMITLESS: HOW NEUROSCIENCE RESEARCH CAN MAXIMIZE OUR APPROACH TO NUMBERS & LIFE

On-Demand Recording

Recent years have seen an explosion of scientific evidence showing that there is a different way to learn, lead and live. When people take a limitless approach to learning and leading, different pathways open up. Mindset messages are important but they do not take root unless they are accompanied by a different approach to knowledge and interactions. In this session, we will consider what this different approach is, particularly in relation to quantitative knowledge. We will think together about ways to learn, lead and live without barriers.

1 Hour of CE Credit.

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ATOMIC HABITS: HOW TO GET 1% BETTER EVERY DAY

On-Demand Recording

In this talk, James Clear focuses on the science of small habits, how they work and how their effects compound and multiply over time. Through research and personal stories, audiences will not only be entertained, but come away with practical strategies they can immediately apply in their personal and professional lives.

1 Hour of CE Credit.

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BEHAVIORAL FINANCE IN INVESTING: THE EXISTENCE AND IMPORTANCE OF ‘INVESTMENT TRIBES’ AND RISK-PREFERENCE DIVERSITY W/ SID MURALIDHAR AND ARUN MURALIDHAR, PH.D. 

Exceptional Advisor Podcast 

Robert Powell, the editor of Retirement Daily at The Street, interviews Sid Muralidhar and Arun Muralidhar, Ph.D. on their award-winning article Behavioral Finance in Investing: The Existence and Importance of ‘Investment Tribes’ and Risk-Preference Diversity. This episode explores the implications of investment tribes and how advisors can apply these research findings to improve client outcomes.

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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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