Articles from our Weekly Newsletters

Are Preferred Stocks an Alternative to Safe Bonds?

Low interest rates mean that investors can no longer generate the income they need (and were used to). This dilemma has triggered a search for higher-yielding alternative forms of fixed income investing. Those investors who choose preferred stocks must understand the hidden and obvious risks.

The Numbers that Propel Your Success

The goals that you set and the activities and outcomes that you and your team track determine the things that actually happen in your business. That notion of monitoring progress against measurable goals applies to almost everything you do.

The Data-Driven Science of Growing AUM

Advisors have a confusing relationship with data. If they embraced data-driven research about interpersonal relationships in the same way they do their investments, they would add clients and grow their assets.

A Podcast Series to Enable Better Client Conversations

BMO Global Asset Management has launched its new podcast series, “Better conversations. Better outcomes.” The 33-episode series provides actionable ideas to expand advisors’ businesses and tools to improve the quality of conversations between advisors and their clients. I spoke with Ben Jones, managing director of intermediary distribution and series co-host, about the series on September 16.

Gibson Capital: Getting Clients to Stick to the Plan

Roger Gibson’s Asset Allocation, Balancing Financial Risk is in its fifth edition and stands as a seminal resource for the advisory profession. His firm is now focusing on how to keep clients from abandoning their investment strategy during times of financial stress – and how to minimize the regret clients feel when performance is disappointing.

The Three Drivers of Advisor Behavior

Through a psychological lens, advisors are better able to understand and empathize with their clients and anticipate the life changes and decisions they may face in the future. Advisors also need to take a look inward to better acknowledge and identify the impact of the same drivers of influence on their own judgment and choices.

How to Deal with a Luddite Boss

The individual who runs our advisory firm is very traditional. To him, technology is the enemy. Is there any way to get through to someone who is this entrenched in their views, or should I be looking for another job where people are more forward thinking?

Liquidate Appreciated Securities Tax-Free For College Funding By Avoiding the Kiddie Tax

While kiddie tax rules are unavoidable for young children, it is often possible to avoid their reach for college students, who are not subject to it if they also generate enough earned income from wages and self-employment, or choose to attend school part time.

Overcoming the Unique Retirement Challenges Facing Millennials

Your clients have likely referred their Millennial children or grandchildren to you for help with financial planning. It’s a tall order because of the unique financial challenges they face. Here’s some practical advice to overcome those hurdles.

The Hidden Risk in your Custodial Agreements

Here’s a shocker: Chances are, your RIA firm has custody of client accounts – and you’ll receive unpleasant news after your next SEC audit.