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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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INVESTMENT MANAGEMENT SUPPORT FOR ADVISORS: USING OUTSIDE RESOURCES

Sponsored by Fidelity Investments

Selectively outsourcing investment management may allow advisors to focus on holistic financial planning and evolve the client experience.

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Articles and White Papers

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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SEC WARNS ADVISERS ABOUT WRAP-FEE CONFLICTS   

From InvestmentNews

The agency's risk alert highlights problems that it found in examinations of more than 100 advisers who served as portfolio managers or sponsors of wrap-fee programs or who advised their clients’ accounts through third-party wrap managers.

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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 the 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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CONSIDERATIONS IN CHOOSING A WEALTH ADVISORY PLATFORM

Sponsored by Fidelity Investments

Is your platform enabling you to be as productive as you can be? Is your portfolio construction efficient but not cookie-cutter? What about support and security? It's not always easy to know what to look for in a wealth management platform. These five must-have capabilities can help you deliver tomorrow's results—today.

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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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CREATING AND COACHING A COHESIVE TEAM

From the Investments & Wealth Monitor

Helping team members achieve their professional and personal goals will pay dividends in client satisfaction, growth, and loyalty.

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ENGAGING CLIENTS IN THE 'NEW NORMAL'

From the Investments & Wealth Monitor

The past year has offered a crash course in the importance of technology and communication. Advisors should invest the most they can in technology and be proactive about client communication.

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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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Institute Blog: Investment Sense


Professional Development

WEALTH MANAGEMENT ACCELERATOR PROGRAM

September 1 - December 8

Are you an accelerator? Spend the next three plus months propelling your career forward with the actionable tools and education you need to become a private wealth expert. This is for the advanced professional, the go-getter, the competitor. We have taken six months of premier content and practical instruction and consolidated it into a three plus month intense, focused timeline to empower you to earn your Certified Private Wealth Advisor® (CPWA®) certification in record time. Do you have the drive it takes to succeed? This program is limited to 50 accelerators so book your spot by August 25th. Complete your CPWA® certification from Sept. 1 to Dec. 8, 2021.

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100-DAY ADVISOR CHALLENGE: FALL EDITION

September 20 - November 30

This academic commitment isn’t for everyone. It will take determination, perseverance, and grit. It was designed for competitive professionals looking to challenge themselves over a period of 100 days. You will be pushed to approach things through a new lens, adopt new habits, and solve complex problems using our Retirement Management Advisor® framework. Throughout your journey, you’ll have a team of top practitioners motivating and encouraging you. You’ll have exercises, case studies, and thought-provoking discussions. The final step in your fall 100-Day Advisor Challenge culminates with a rigorous exam. As a reward, you will earn bragging rights as a retirement expert! Upon passing the exam, you will be able to proudly showcase your Retirement Management Advisor® or RMA® credentials.

Apply by September 13, 2021 with promo code FALL100AC to save $500!

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Institute Announcements

  • Survey: Help the Institute with Planning Our Educational Sessions

    The Investments & Wealth Institute is seeking your input to help us in planning upcoming Institute educational sessions. Please provide your opinion by taking a short, 17-question survey. Please rank the topics from 1 to 17, with 1 being most interested and 17 being least-interested. Please provide your feedback ...
  • Forthcoming Study Indicates in a 50%+ Market Decline Investors Will Act Against Best Interests

    The Investments & Wealth Institute, in partnership with the Behavioral Investing Institute, recently conducted a study on how both advisors and investors perceive bubbles and market crises. The survey results revealed the depth of client temptations, their fears of market declines and understanding of their portfolios. The ...
  • The Investments & Wealth Institute Brings New Accelerator Program to Advisors

    Investments & Wealth Institute® is proud to announce a new executive education program for advanced financial advisors looking to accelerate their level of expertise and become a Certified Private Wealth Advisor® (CPWA®) in about three months. The Wealth Management Accelerator Program kicks off on September 1, 2021. This program ...


Online Education and Podcasts

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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THE FIVE TRENDS THAT WILL DEFINE THE POST-PANDEMIC WORLD

On-Demand Recording

Even before the 2020 global pandemic hit the world in earnest, the global economy was in a precarious place. Dambisa Moyo will chart the five key macroeconomic trends that will dominate the post-COVID era, with a focus on investable ideas and opportunities for returns in the coming challenging world.

1 Hour of CE Credit.

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TEAM TOPICS

On-Demand Recording

Advisors are increasingly teaming up to better address the unique needs of affluent clients, but they must learn to accommodate team members’ differences in personality, processes, and motivation to be successful.

5 Hours of CE Credit.

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REGULATIONS THAT IMPACT ADVICE TO RETAIL INVESTORS

Exceptional Advisor Podcast 

Robert Powell, the editor of Retirement Daily at The Street, interviews Duane Thompson, AIFA®, President, Potomac Strategies, LLC on the major changes to the Securities and Exchange Commission’s advertising and marketing requirements for registered investment advisers. They talk legislative updates and discuss Reg BI.

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THE INVESTMENT CONSULTING PROCESS

Course

The Investment Consulting Process is an online course that explores the five-step investment consulting process for professionals new to the industry, or for those looking to deepen their understanding of the role of the investment advisor in a prudent process that serves the client.

10 Hours of CE Credit.

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OPTION STRATEGIES FOR ADVISORS

On-Demand Recording

Overcome confidence hurdles when using options. This online course, written and developed by the Options Industry Council (OIC), provides advisors essential knowledge and skills related to using options, as well as practical strategies that can be immediately implemented.

8 Hours of CE Credit.

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