News

An Insiders Guide to the World of Trusts

Attend this webinar where we will discuss topics such as common terminology, common types of trust and how they can benefit your clients.

Mark Twain's Warning About Valuing Trusts

Reports from financial institutions can have issues that cause a trust to be incorrectly valued or that affect that the calculation of tax liability. This can lead to decisions based on faulty data and create risk for the trustee.

Complimentary Podcast Interview

Want to showcase your practice? We're offering a complimentary podcast interview for a few selsct practices

Adviser First Continues it's Commitment to Veterans

Continuing with our commitment to make a monthly contribution to a veterans organization on behalf of all those who register on our site, we are happy to support the Gary Sinise Foundation for the months of September and October

Insights from our Outside Resources and why we adopted a fiduciary business behavior

Insights from our Outside Resources and why we adopted a fiduciary business behavior

Opportunity Knocks for Smaller Trustees. Are they ready to answer?

Professional trustees and smaller trust organizations stand to benefit since they can provide the personalized service that consumers want. But the question they need to ask is “Are we ready to capitalize on this opportunity”?

Mistakes That Can Destroy Your Career

What I learned as a junior officer in the Navy on how not to destroy your career.

Culture, character & Industry Commoditization When Selecting a New Broker-Dealer, Hybrid or RIA.

There are numerous alternatives on the direction of your practice. Alternatives are one thing, but a solution that compliments your present practice, addresses your concerns, and supports your ideas can make finding the ideal solution a bit more

Placating stakeholders could drive a stake through corporate reputation

Companies need to be able to recognize changing facts on the ground, assess corporate values and capabilities, and decide on a response in real time.

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SEC orders Wells Fargo to pay $7 million for anti-money-laundering failures

The firm was more than five months late on average in filing suspicious activity reports involving wire transfers to and from foreign countries suspected of terrorism financing and other illegal money movements.

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Wells Fargo used fake job interviews to promote diversity: Report

The job interviews seemed designed to bolster Wells Fargo's record of its diversity efforts rather than actually hiring women or people of color, the New York Times reported.

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Strategic Retirement Partners picks Securian for its PEP

Securian will serve as the pooled plan provider and ERISA 3(16) fiduciary, while Strategic Retirement will provide ERISA 3(38) investment management and consulting services.

The post Strategic Retirement Partners picks Securian for its PEP appeared first on InvestmentNews.

S&P 500 Sinks Into Bear Market Amid Brutal Equities Selloff

The drop is part of a seven-week slide in the broad measure that qualifies as the longest since the dot-com bubble was bursting in 2001.

IMA Wealth offers small-plan retirement program

Alerus serves as the designated 3(16) plan administrator and T. Rowe Price serves as record keeper.

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Seven Tips to Help Financial Advisor Firms Protect their Customer Lists

Taking steps to establish that customer relationships are a trade secret may be the best way to protect these valuable assets.

SEC Fines Wells Fargo Advisors $7M For Anti-Money Laundering Lapses

SEC Enforcement Division Director Gurbir S. Grewal said the enforcement action indicated that 'AML obligations are sacrosanct' for registrants.

SEC Fines Wells Fargo Advisors $7M for Anti–Money Laundering Lapses

SEC Enforcement Division Director Gurbir S. Grewal said the enforcement action indicated that 'AML obligations are sacrosanct' for registrants.

Morgan Stanley’s Parametric moves the wirehouse into ETF management

Two filings show that Parametric is moving beyond its current focus on separate accounts and direct indexing to subadvise strategies for Innovator ETFs.

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No longer ‘annuicide’: How insurance products are reaching the fee-based channel

RIA Lab session looks at the insurance industry's evolution toward providing custodial-like relationships with advisers.

The post No longer ‘annuicide’: How insurance products are reaching the fee-based channel appeared first on InvestmentNews.

Art Is an Investment to Appreciate

Even if an artwork doesn’t increase in value, it provides its owner intangible benefits that equities do not.