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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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The Center for RIA Excellence
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Articles and White Papers

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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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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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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WHEN DO INVESTORS FREAK OUT? MACHINE LEARNING PREDICTIONS OF PANIC SELLING 

Research of Interest

Despite standard investment advice to the contrary, individuals often engage in panic selling, liquidating significant portions of their risky assets in response to large losses. Using a novel dataset of 653,455 individual brokerage accounts belonging to 298,556 households, this research documents the frequency, timing, and duration of panic sales.

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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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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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Institute Blog: Investment Sense


Professional Development




Institute Announcements

  • 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 ...
  • BeFi Barometer 2021: Advisors Witness Increase in Behavioral Biases Among Clients Amidst Pandemic

    In a year characterized by ongoing uncertainty from the COVID-19 pandemic and heightened retail investor interest in the markets, financial advisors reported a surge in behavioral biases among clients, according to the BeFi Barometer 2021. This is the third year of the survey commissioned by Schwab Asset ...
  • Industry Leaders Assemble Together to Educate Advisors on the Benefits of Behavioral Finance

    For the third year in a row the Institute is proud to celebrate Behavioral Finance (BeFi) Week, October 4-10, 2021. In a time of unprecedented social and economic uncertainty, more financial advisors are using behavioral finance techniques to help clients stay focused on their long-term goals. The ...


Online Education and Podcasts

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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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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