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


Spotlight News



ADVISING CLIENTS THROUGH THE CONTROLLABLE FACTORS AND UNCONTROLLABLE RISKS OF A RETIREMENT SPENDING PLAN

Exceptional Advisor Podcast

Robert Powell, editor of TheStreet’s Retirement Daily, interviews Greg Goin, CFP®, CIMA®, CLU®, CRPC®, Regional Vice President, RIA & Institutional Markets, Allianz Life Financial Services, LLC, and Mark Paulson, Vice President, Hedge Business Development at Allianz Investment Management, on 1) the factors advisors can help clients control when advising them on their retirement plans and how each recommendation affects the plan’s chance of success, and 2) uncontrollable risks and their impact on retirement plans.

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MASTERING THE CONVERSATION 

Sponsored by Allianz Life Insurance Company of North America

Fourteen of the industry’s top communications professionals lend their ideas and expertise to this guide on mastering excellent client communication, discussing topics such as how advisors can improve active listening skills, better prepare for difficult conversations, and build trust with clients.

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Articles and White Papers



ADJUSTING TO A CHANGING ECONOMY: WEALTH MANAGEMENT FIRMS EXPAND TECHNOLOGY FRONTIERS TO CAPTURE NEW-GENERATION INVESTORS  

From the Investments & Wealth Monitor

Geopolitical and macroenvironmental forces are driving changes in high-net-worth-individual status and behavior and shaking up wealth management industry dynamics.

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THREE P’S FOR A SUCCESSFUL ADVISOR TRANSITION      

From the Investments & Wealth Monitor

Successful advisor transition requires the right people, detailed strategic planning, practical execution on an appropriate timeline, as well as proactive communication and accountability.

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DEFINING WEALTH MANAGEMENT: KNOWLEDGE AND SERVICE CAPABILITIES REQUIRED FOR TODAY’S FINANCIAL ADVISORY PRACTITIONERS AND WEALTH MANAGEMENT TEAMS   

From Investments & Wealth Research

The new report defines knowledge and skills required of professional wealth management practitioners and serves as a blueprint for teams and firms to deliver competent, ethical advisory services to the public.

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FINANCIAL PREFERENCES AND PRIORITIES BY DEMOGRAPHIC GROUP

From the Investments & Wealth Monitor

An analysis of demographic groups and how they differ regarding financial well-being, attitudes, and life circumstances can open new opportunities for advisors.

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2022 T3/INSIDE INFORMATION SOFTWARE SURVEY  

Research of Interest

The newly released 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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SOCIAL MEDIA: MAKING THE PROFESSIONAL MORE PERSONAL       

From the Investments & Wealth Monitor

Social media is the ultimate tool for creating profiles that best present advisors’ personal and professional attributes.

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Online Education and Podcasts


COMMON QUESTIONS AND MYTHS ABOUT SOCIAL SECURITY  

Exceptional Advisor Podcast

Delaware Life Marketing’s Val Sender, Associate Director, and Jeng Chiu, Vice President of National Sales Consulting, answer the most common questions they receive from financial advisors and address the most common Social Security myths. Important Disclosures (delawarelife.com).

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THE TRUST MANDATE 

Exceptional Advisor Podcast

Herman Brodie, the founding director of Prospecta Limited and author of The Trust Mandate, discusses how investment advisors can build trust with their clients and how investment advisors can address two key behavioral issues of great concern to their retired and soon-to-be-retired clients.

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DON’T FIGHT THE FED

Exceptional Advisor Podcast

Liz Ann Sonders, managing director, chief investment strategist, Charles Schwab & Co., discusses the most important takeaways for advisors and investors in light of Russia’s invasion of Ukraine and the Fed increasing its benchmark federal-funds rate by a quarter percentage point to a range between 0.25 percent and 0.5 percent.

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RIGOROUS EMPATHY: HOW THE ADAPTIVE ADVISOR WILL SUCCEED 

On-Demand Recording

The ongoing health and financial crisis will accelerate the ongoing disruption of the financial planning industry. Advisors are grappling with how to define their value proposition, moving beyond commoditized products and portfolios. To remain both impactful and profitable, some advisors have embraced the new normal in which holistic decision-making and behavioral coaching is paramount. 

1 Hour of CE Credit.

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ROTH CONVERSIONS IN 2022

Exceptional Advisor Podcast

Robert S. Keebler, CPA/PFS, MST, AEP (Distinguished), a partner with Keebler & Associates, LLP, discusses the reasons why 2022 may be an especially effective year to consider a Roth IRA conversion.

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STRATEGIES FOR POTENTIAL INFLATION OUTPERFORMANCE 

On-Demand Recording

Portfolios may be potentially protected against inflation with private real estate. Did you know that private real estate has historically delivered returns two- to four times the rate of inflation, making it a potential hedge against inflation? Learn about how inflation impacts portfolios and why private real estate may act as a potential inflation hedge. 

1 Hour of CE Credit.

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Blogs



SEC CRACKS DOWN ON ESG ‘GREENWASHING’     

From Washington Insights, June 2022

This month’s Washington Insights column examines the recently proposed rules by the Securities and Exchange Commission that would tighten the rules requiring disclosure of environmental, social, and governance factors used in mutual fund names and in Form ADV disclosures by registered investment advisers.

Read at Washington Insights

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 personal...
  • 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 Hires Ross Riskin as Chief Learning Officer

    The Investments & Wealth Institute, a nonprofit organization that delivers premier investment consulting and wealth management credentials and world-class educational offerings, has named Ross Riskin, DBA, CPA/PFS™, CCFC, MS Tax as chief learning officer.
  • Investments & Wealth Institute Launches “Private Markets for Advisors” Certificate Program

    The leading professional association for financial professionals, the Investments & Wealth Institute has launched a new, certificate-based, online course on private markets sponsored by Macquarie Asset Management, the asset management division of Macquarie Group. This new, 12-hour course teaches advisors ...
  • Investments & Wealth Institute Announces the Launch of the Investments & Wealth Foundation

    The Investments & Wealth Institute today announced the creation of the nonprofit Investments & Wealth Foundation, to grow and support a more diverse workforce within the financial advisor profession through scholarships for the Institute’s Certified Investment Management Analyst® (CIMA®), Certified Private Wealth Advisor® (CPWA®) and Retirement Management Advisor® (RMA®) certifications.

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