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


Spotlight News



SOLUTIONS TO EMERGING TAX PROBLEMS IN RETIREMENT W/WALDEAN WALL  

Exceptional Advisor Podcast

Waldean Wall, Vice President, Advanced Markets and Solutions, Allianz Life Insurance Company of North America, discusses three emerging tax problems in retirement and possible solutions, including Roth conversions, life insurance, split beneficiaries, charitable giving, and charitable trusts.

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KEY FINDINGS FROM THE RIA RETIREMENT RISK REVIEW STUDY: FINANCIAL ADVISORS ARE PRIORITIZING RISK MANAGEMENT OVER MAXIMUM GAINS  

Sponsored by Allianz Life Insurance Company of North America

The Allianz Life RIA Retirement Risk Review Study reveals growing concerns over client retirement security, willingness to explore new risk-management solutions.

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Articles and White Papers



THE ROLE AND USE OF ALTERNATIVE INVESTMENTS: A DISCUSSION WITH STEPHEN HORAN, PHD, CFA®, CIPM®, CAIA®, BRIAN ULLSPERGER, CIMA®, AND ANTHONY B. DAVIDOW, CIMA® 

From the Investments & Wealth Monitor

Member experts respond to questions about the challenges and opportunities that alternatives present to advisors and their clients.

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2022 CLIENT RESEARCH: THE EVOLUTION CONTINUES—GLOBAL UNCERTAINTY AND DEMOGRAPHIC SHIFTS ARE CHANGING CLIENT EXPERIENCE    

From Investments & Wealth Research

Each year Investments & Wealth Institute and Absolute Engagement survey clients to gather insights that support exceptional advisors. This article reports on findings of the 2022 survey.

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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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CRYPTOCURRENCIES AND DIGITAL ASSETS: VALUATION MODELS AND DUE DILIGENCE       

From the Investments & Wealth Monitor

The challenge for investors is to pick the relatively small number of today’s cryptoassets that will be among the next decade’s largest winners.

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ESG AND SUSTAINABLE INVESTING: A DISCUSSION WITH DAVID CALLAWAY AND ROBERT POWELL, CFP®         

From the Investments & Wealth Monitor

Two industry leaders discuss investors’ understanding of ESG and sustainable investing, how to accelerate advisor and client education in this area, and how advisors can differentiate themselves through ESG.

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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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Latest Discussions

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Online Education and Podcasts


ASK: HOW TO RELATE TO ANYONE W/DAN SOLIN   

Exceptional Advisor Podcast

Daniel R. Solin, the New York Times bestselling author of the Smartest series of investing books and The Smartest Sales Book You’ll Ever Read, provides advice for advisors when talking to prospects and/or clients.

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PRINCIPLES, MYTHS, AND METHODS FOR THE HOURLY FINANCIAL ADVISOR W/MARK BERG, CFP®  

Exceptional Advisor Podcast

Hourly counsel has the potential to be the fastest-growing segment in the delivery of financial advice, according to Mark Berg, the founding principal of Timothy Financial Counsel. In this podcast, Berg discusses how to price, position and deliver hourly advice; how to segment your client base and prospect for an entirely new clientele; how to develop a relationship-based approach and avoid a "transactional" mindset; and how to harness the potential of time-tracking to create a stable foundation for growth.

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THE ART AND SCIENCE OF ASKING QUESTIONS W/WARREN BERGER  

Exceptional Advisor Podcast

Warren Berger, the author of A More Beautiful Question and several other books, discusses the art and science of asking “beautiful” questions and how advisors can develop richer relationships with their clients and prospects by asking the right questions.

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THE FUTURE OF MONEY W/LILAH RAYNOR 

Exceptional Advisor Podcast

Lilah Raynor, the founder and CEO of Logica Research, describes the key findings from Logica's most recent Future of Money Study on the way Gen Z, Millennials, Gen X, and Boomers make, spend, and manage money. Plus, Raynor provides actionable advice to financial advisors based on the results of Logica's research.

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A GUIDE TO INCLUSIVE WORK CULTURES 

On-Demand Recording

Any firm can ‘do’ diversity; it is the inclusion that is the difficult part. For an organization to be genuinely inclusive, it must change in the presence of diversity. And this change is painfully slow. 

Premier CE: 1 credit for CIMA®, CPWA®, and RMA® certifications.

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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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Blogs



TARGET-DATE FUNDS: ERISA COURTS MAY SOON ADDRESS APPROPRIATE MEASURE FOR PERFORMANCE        

From Washington Insights, September 2022

Washington Insights reviews a series of class-action lawsuits filed against plan sponsors claiming breach of fiduciary duty by selecting and retaining a BlackRock suite of allegedly underperforming target-date funds for their 401(k) plan menus.

Read at Washington Insights

Institute Blog: Investment Sense

  • The Risks of Retirement

    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 Names Michael Mastey as Director of Sales

    The Investments & Wealth Institute, announced today that it has named Michael Mastey as its director of sales. In this role, Mastey will lead the Institute’s sales strategy, business development initiatives and revenue generation.
  • Investments & Wealth Forum – Toronto Registration Now Open

    The Investments & Wealth Institute will be hosting an intensive one-day event on October 3 in Toronto, ON. The Investments & Wealth Forum – Toronto, Facilitating Behavioural Change, will feature leading academics, practitioner consultants and a Women in Wealth panel. Financial professionals are invited ...
  • Mackenzie Investments Becomes First North American Cohort to Participate in Private Markets Course

    The Investments & Wealth Institute today announced that Mackenzie Investments, one of Canada’s leading asset managers, has become the first financial services cohort in North America to officially participate in their new Private Markets for Advisors training course, launched in May 2022.

Institute Events

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