The Center for RIA Excellence

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


Spotlight News



CONTROLLABLE FACTORS AND UNCONTROLLABLE RISKS IN A RETIREMENT SPENDING PLAN: USING A REGISTERED INDEXED LINKED ANNUITY TO MITIGATE RISK EXPOSURE

From the Retirement Management Journal

When creating a retirement spending plan, an advisor and client seek to maximize consistent, sustainable spending. We examine the impact to probability of success when an advisor and client make changes to the factors they can control, then quantify the portfolio’s exposure to uncontrollable risks.

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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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Articles and White Papers



CAN MERGERS AND ACQUISITIONS REDUCE EMPLOYEE MISCONDUCT?
   

From Yale Insights, the Yale School of Management

IWI Executive Education Partner

New research looks at whether employee misconduct in the highly regulated investment advisory industry goes down after a merger, potentially making the combined company more valuable.

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DIGITAL EMPOWERMENT: ENHANCING YOUR TECHNOLOGY ECOSYSTEM THROUGH THOUGHTFUL DESIGN     

Sponsored by Fidelity Investments

A guide to selecting technology solutions and constructing cohesive user experiences.

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DRIVERS OF A SUCCESSFUL ADVISOR-INVESTOR RELATIONSHIP     

Sponsored by Fidelity Investments

Perspectives on growth and satisfaction from the 2021 Fidelity Investor Insights Study.

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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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HIGH-PERFORMING AND RESILIENT TEAMS: PREVENTING BURNOUT
   

From Knowledge@Wharton

IWI Executive Education Partner

Although the bulk of organizational work is done by teams, there is little acknowledgement of — never mind guidance relating to — team resilience.

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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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Online Education and Podcasts


DEVELOPING AND MAINTAINING HIGH-PERFORMING TEAMS 

On-Demand Recording

Tune in to gain new insights and practical takeaways from Jon Fussell, a retired Navy SEAL Commander, to better understand how SEAL teams function. Jon will discuss five core behaviors inherent to all high-performing SEAL teams that advisors can apply to their practices in order to help build lasting relationships with clients. 

1 Hour of CE Credit.

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OPTIMIZING YOUR PRACTICE FOR GENS X, Y, AND Z

Exceptional Advisor Podcast

Robert Powell, CFP®, editor of The Street’s Retirement Daily, interviews Frank Vilcnik, RICP®, Senior Regional Vice President of New York Life, on the great wealth transfer and the opportunity set for advisors in building a generation-resilient practice. Tune in to hear proven strategies to attract, serve, and retain Gens X, Y, and Z as core clients.

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HABITS OF A CHAMPION TEAM: THE FORMULA TO WINNING BIG IN SPORTS, LIFE, AND BUSINESS  

Exceptional Advisor Podcast

Dana Cavalea, the former director of performance for the New York Yankees, discusses in the podcast with Robert Powell, the editor of TheStreet’s Retirement Daily, what financial professionals can do to create a winning team and become a better leader. Cavalea also shares what he learned about winning from Derek Jeter and Mariano Rivera.

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BEST PRACTICES & OPPORTUNITIES IN THE "NEW NORMAL"
  

On-Demand Recording

This session will explore a variety of best practices and opportunities to harness what we have learned working through a pandemic to carry forward in the “new normal.” We’ll share our thoughts and ideas from adjusting service models based on client preferences for virtual vs. in-person meetings to engaging with digital capabilities to creating end-to-end financial ecosystems to engaging the next generation of clients.

1 Hour of CE Credit.

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BOOST HAPPINESS AND MANAGE STRESS AND ANXIETY IN OUR UNCERTAIN WORLD  

On-Demand Recording

Stress isn't always damaging, but when it is, abrupt action needs to be taken. Certain stressors must be avoided at all cost. Breakthrough science-based solutions are now proven to control stress and anxiety. Tune in as Dr. Marc Milstein delivers advanced, brain-based research with actionable takeaways both you and your clients can benefit from.

1 Hour of CE Credit.

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THE ART AND SCIENCE OF COACHING FINANCIAL ADVISORS W/JAMIE HOPKINS  

Exceptional Advisor Podcast

Robert Powell, CFP®, editor of TheStreet's Retirement Daily, talks with Jamie Hopkins, ESQ., MBA, CFP®, LLM, CLU®, ChFC®, RICP®, the Managing Partner of Wealth Solutions at Carson Group and the author of “Retirement: Rewiring The Way You Think About Retirement,” about his role coaching financial advisors and helping them unleash their “full potential.”

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Institute Blog: Investment Sense

Institute Announcements

  • Investments & Wealth Institute Announces First In-Person Event for 2022

    The Investments & Wealth Institute (IWI), the premier professional association, education provider, and standards body for financial advisors, today announced details for their first 2022 in-person conference, the Investments & Wealth Forum, to be held Jan. 31-Feb. 1, in Fort Lauderdale. It will also be available on-demand ...
  • Digital Badges are Modernizing the Way Financial Advisors Display Their Expertise

    The Investments and Wealth Institute launches a competency-based education tool to help advisors gain traction in the digital age and share their credentials with investors and prospects.
  • Investments & Wealth Institute Announces 2022 Chair and New Board Members

    The Investments & Wealth Institute (IWI), the premier professional association, education provider, and standards body for financial advisors, today announced the Chair-elect and new members of the 13-member Board of Directors.


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