THRIVE Center for Diversity, Equity, & Inclusion

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The community for fostering a more diverse and sustainable workforce in which financial advisors from all backgrounds can THRIVE.


Spotlight News



REGENERATIVE FINANCE: A NEW ASSET CLASS FOR VALUES-DRIVEN INVESTORS PRIORITIZES PROBLEM-SOLVING AND IMPACT       

From the Investments & Wealth Monitor

Regenerative finance allows wealth holders to invest directly in models for solving social and environmental problems.

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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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Articles and White Papers


ALL INVESTING HAS IMPACT: VALUING IMPACT RISK, BUILDING A BETTER WORLD, AND MAKING MONEY ALONG THE WAY      

From the Investments & Wealth Monitor

Nomenclature and strategy may vary, but purpose is the unifying principle that makes investment impact a part of decision-making.

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ACTION, NOT WORDS: CREATING GENDER AND RACIAL EQUITY AT WORK     

From Knowledge at Wharton

IWI Executive Education Partner

Wharton’s Stephanie Creary talks to Tina Opie and Beth Livingston, two management professors who have written a new book on how to tear down the barriers that prevent women and marginalized groups from thriving in business.

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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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WHY ESG MATTERS     

From the Investments & Wealth Monitor

Advisors need to familiarize themselves with the origins and complexities of ESG investing—and be ready to discuss with clients.

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THE SECRETS TO EARNING A FEMALE INVESTOR’S TRUST—AND HER BUSINESS  

From the Investments & Wealth Monitor

Wealth managers will be able to succeed in the years ahead only if they know how to effectively serve female clients.

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MILLENNIAL BOOM: DEMOGRAPHICS POINT TOWARD ECONOMIC GROWTH   

From the Investments & Wealth Monitor

Baby boomers supercharged the economy with demand for housing and consumption goods; now millennials are setting the economy up for a surge in home equity as stocks and bonds are setting up to take a hit.

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Latest Discussions

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Online Education and Podcasts


BUILDING & SHAPING TOMORROWS WEALTH MANAGEMENT TEAM

On-Demand Recording

2022 client research conducted by the Investments & Wealth Institute shows that clients expect wealth management teams to deliver services through a diverse team that reflects a mix of professionals who are multi-competency, multi-gender, multi-generational, and multi-cultural.

1 Hour of CE Credit.

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THE OPPORTUNITY IN GENDER DIVERSITY: WHAT WOMEN CAN BRING TO YOUR FIRM

On-Demand Recording

The opportunity in gender diversity covers not just the rationale behind diversity in advisory firms but key steps needed to begin increasing women’s perspectives and participation in business.

1 Hour of CE Credit.

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CORPORATE EFFORTS IN DIVERSITY, EQUITY & INCLUSION – TOP DOWN + GRASSROOTS = CHANGE

On-Demand Recording

Hear from this panel of experts about a variety of successful DEI programs using both approaches: top down corporate change programs, and programs that started at the grassroots level.

1 Hour of CE Credit.

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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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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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SERVING THE UNIQUE NEEDS OF LGBTQ CLIENTS (REMASTERED)

Exceptional Advisor Podcast

Frederick Hertz, JD, attorney and mediator at the law and mediation offices of Frederick Hertz, talks about how advisors can meet the unique needs of LGBTQ clients.

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Blogs



SEC MOVES CLOSER TO DOL FIDUCIARY REQUIREMENTS FOR SERVICE PROVIDERS        

From Washington Insights, December 2022

Washington Insights reviews a proposed rule by the Securities and Exchange Commission that would require registered investment advisers to apply a due diligence process to the selection and monitoring of service providers to their firms. The Department of Labor previously identified a similar need for Employee Retirement Income Security Act fiduciaries to prudently select and monitor a plan’s service providers.

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 Unveils an Expanded RMA® Certification

    The leading professional association for financial advisors, the Investments & Wealth Institute, has just rolled out a new examination and a more robust and comprehensive curriculum as part of its expanded Retirement Management Advisor® (RMA®) Certification.
  • RMA Registration Deadline is Febrary 17

    Application deadline to join the RMA program and to attend the executive education Capstone in San Diego at ACE Academy is February 17. Start the process today!
  • New Research Report Provides Insights into the Disconnect between Advisors and Investors

    The leading professional association for financial advisors, the Investments & Wealth Institute, has just released a new research report, The Investor-Advisor Disconnect, in partnership with Toews Asset Management. This study reveals the disconnect existing in several key areas between advisors and their clients, including ...





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