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Summary: A top FINRA official says the industry watchdog has started reaching out to broker-dealers who offer robo advice, asking how they determine client risk tolerance, among other factors.
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Summary: For many older advisors, the task of finding an exit strategy can be so daunting that they simply put it off or don’t do it. But your successor could be the person sitting across the table—your client.
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Summary: It seems everywhere advisors turn these days, it’s “digital this and digital that.” With the sometimes confusing mash-up of bits and bytes and constant technological innovation, it’s critical that advisors know when and where to jump into the digital fray
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Summary: Many so-called experts are giving their 2016 predictions. Brace yourself for volatility – be prepared for a downturn – and so on – all focused on the short-term. However two financial gurus, Larry Fink and Warren Buffett, are long-term thinkers (read the interview with BlackRock CEO Larry Fink in HBR November 2015). Fink is “on a crusade against short-term thinking” which he refers to as short-termism.
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Summary: New research from InvestmentNews and TD Ameritrade Institutional shows that an increasing number of firms are looking to add NextGen advisers in 2016 – and that there is a significant short-term impact when firms bring NextGen talent into their organizations.
