Top Stories
How To Leverage Your Social Network To Get Important Work Done Fast, Easy And Cheap edit
Sponsored Content, Advisor Products, Andrew Gluck
Two weeks ago, David Lucs, who has worked as a project manager at Advisor Products for over six years, called me into a conference room and resigned. It was totally unexpected. Replacing a person...
 
Do I Really Have To Use LinkedIn? edit
Marketing, Advertising, Crystal Thies, The LinkedIn Ninja
I just re-read an article from Investment News posted last fall trying to refute the need for financial and investment advisors to be using social media. The author claimed that all of the hype for...
 
UHNWIs' Growing Need For Help With Self-Directed IRAs Spawns A Niche; Our Expert Gets A 4.7-Star Rating On A Webinar About This Esoteric, Fun, And Lucrative Niche edit
Investing, Strategies, Andrew Gluck
The popularity of alternative investments has sparked an increase in the use of self-directed IRAs by high-net-worth individuals who want to diversify beyond securities and invest in private deals....
 
Every Asset Class Was Up In The First Half Of 2014 -- First Time In 20 Years edit
Investing, Strategies, Ron Surz
What’s next? In my mid-year commentary, I deconstruct a market climate that, despite my dire predictions, has thrived in the first half of 2014.  
 
Why Economist Ed Yardeni Is A Mensch; Plus, Good News For Fritz Fans, As Our Intrepid Guru Gets A 4.8 Rating Again From A4A Members edit
Investing, Strategies, Andrew Gluck
Good news, Fritz fans. Monthly Fritz Meyer webinars once a quarter will now run 100-minutes in length and be eligible for two professional education credits for CFPs, ChFCs, CLUs, PACE-registered,...
 
The Right Approach to College Visits Can Help Your Clients Make the Right Financial Choice edit
Blogs, Advisors, Patricia Krahnke & Bruce Neimeyer
Although it’s important for students and their parents to understand what a college looks and feels like, we generally recommend that families don’t embark upon serious college visits...
 

Advice

  Is Our Tax System Fair?
Tax, Sheryl Rowling
The media seems to cover income tax issues on an ongoing basis. Many advisors are not CPAs, so explaining concepts to clients can be quite challenging at times.  One of the most controversial...
Protecting The Innocent
Financial Planning, Sheryl Rowling

I've written about the "evils of annuities" before. What is amazing to me is that annuity-pushers are still ripping people off and getting away with it! Here's a case in point. A friend of...

  If You're An Advisor In Maryland: Tell Your Clients That Living Longer Could Make Their Heirs Wealthier
Estate Planning, Andrew Gluck

The good news for UHNWIs residing in Maryland is that the longer they live, the wealthier their heirs will be. The bad news is that if they die within the next four years, their heirs may have...

Receive Two Continuing Education Credits For Today’s Webinar, "75 Ways To Generate Tax-Alpha (Part 1)" by Bob Keebler -- Plus Big Discounts On Bob's Tax Aides For Advisors
Tax, Andrew Gluck

Bob Keebler at 4 p.m. ET today delivers the first installment of a two-part webinar program, entitled, “75 Ways To Generate Tax-Alpha.” The special 100-minute session will give you...

Compliance

  SEC Warns Never Before Examined Advisors - We're Coming!
Regulatory, Chris Winn
Are you ready for an SEC Exam?   If you are SEC registered and have yet to receive an exam, you better prepare. For months the SEC has alluded to its focus on "never-before examined...
2014 RIA Compliance: 23 Questions From Advisors And Answers
Registered Investment Advisors, Christopher E. Winn

At an A4A webinar last Friday, I covered the major issues compliance RIAs need to know about to be prepared for a regulatory exam in 2014. The session covered a wide range of issues, including some...

  Questions About ByAllAccounts And When Account Aggregation Of 401(k) Assets Triggers Onerous Custody Rules Become Focus Of Webinar About 2014 SEC Examination Priorities For RIAs
Registered Investment Advisors, Andrew Gluck

Account aggregation app, ByAllAccounts, is the most popular account aggregation application among RIAs advising individual investors.   So it was surprising when the app became a central focus...

  For Small BDs And Clearing Firms, FINRA Legal Action Serves As a Cautionary Tale On Anti-Money-Laundering Compliance
Regulatory, Scott Matasar

FINRA announced yesterday that it imposed a $1 million fine on a Nebraska clearing firm for repeatedly violating anti-money laundering (AML), financial reporting and supervisory...

Industry

  CFA Institute, In A Step Toward Becoming The Key Professional-Licensing Body In Financial Advice Industry, Proposes Requiring Public Disclosure Of GIPS Compliance
Advisor Business, Andrew Gluck
Global Investment Performance Standards (GIPS) are becoming more trustworthy to UHNWI investors and, thus, more important to RIAs and, in the long run, will make CFA Institute the most important...
  Sure, Your Clients Can Pay for College, But Can Their HS Junior Even Get In?
Advisor Business, Patricia Krahnke & Bruce Neimeyer

Juniors Are Rising   It’s the end of February, which means your clients’ high school juniors are gearing up for their college search and section process.   As your...

Rowling’s Appeal To NAPFA Reflects A Deeper Problem In The Movement To Make Financial Advising A Real Profession
Advisor Business, Andrew Gluck

Sheryl Rowling’s appeal to NAPFA to restore accepting CPA/PFSs as members even if they do not hold a CFP designation reflects a deeper problem in the movement to make financial advising a...

  NAPFA Must Do The Right Thing With CPA/PFSs If It Wants To Retain Its Special Role As An Advocate For Consumers
Trade Associations, Sheryl Rowling

  It's been over a year since the National Association of Personal Financial Advisors (NAPFA) decided to accept as new members only those holding the Certified Financial PlannerTM (CFP®)...

Investing

  UHNWIs' Growing Need For Help With Self-Directed IRAs Spawns A Niche; Our Expert Gets A 4.7-Star Rating On A Webinar About This Esoteric, Fun, And Lucrative Niche
Strategies, Andrew Gluck
The popularity of alternative investments has sparked an increase in the use of self-directed IRAs by high-net-worth individuals who want to diversify beyond securities and invest in private deals....
  Every Asset Class Was Up In The First Half Of 2014 -- First Time In 20 Years
Strategies, Ron Surz

What’s next? In my mid-year commentary, I deconstruct a market climate that, despite my dire predictions, has thrived in the first half of 2014.  

Why Economist Ed Yardeni Is A Mensch; Plus, Good News For Fritz Fans, As Our Intrepid Guru Gets A 4.8 Rating Again From A4A Members
Strategies, Andrew Gluck

Good news, Fritz fans. Monthly Fritz Meyer webinars once a quarter will now run 100-minutes in length and be eligible for two professional education credits for CFPs, ChFCs, CLUs, PACE-registered,...

75 Ways To Generate Tax-Alpha, A Two-Credit 110-Minute CE Webinar By Bob Keebler, Gets A 4.7 Rating, Rave Reviews From Advisors And Is Available 24/7
Strategies, Andrew Gluck

75 Ways To Generate Tax-Alpha, a two-credit 110-minute webinar led by Bob Keebler, is getting rave reviews from advisors and is now available 24/7 to A4A members. It’s the first in a two-part...

Managing

  Lou Stanasolovich, In A Tell-All Webinar, Talks About Legend Financial's Internship Program; Successful RIA Owner Reveals All About His Well-Intentioned Effort
Personal Development, Andrew Gluck
I know how to get your attention! Seriously, though, Lou Stanasolovich’s Pittsburgh RIA, Legend Financial Advisors, has hired more than 300 interns since 1994, and more than two dozen became...
Here's How To Make Your RIA GIPS Compliant And Reap A Marketing Windfall To Grow Your Practice
Practice Management, Andrew Gluck

Global Investment Performance Standards (GIPS) are spreading from the institutional market to the UHNWI market. Failing to become GIPS compliant likely will become a competitive disadvantage for RIAs...

  Do Ethics Matter?
Practice Management, Sheryl Rowling

We live in an age of investment fraud, tax evasion and patent infringement. We are business owners trying to make a buck. Can we effectively compete while holding ourselves to high ethics? Does it...

  Tips to Increase Your Productivity and Regain Control of Your Time (and Possibly Your Sanity!)
Practice Management, Reid Stone

Have you felt like you have been working harder, often for an extended period of time, and feel like you aren’t reaping the benefits? Do you feel like your employees aren’t getting as much done...

Marketing

  Do I Really Have To Use LinkedIn?
Advertising, Crystal Thies, The LinkedIn Ninja
I just re-read an article from Investment News posted last fall trying to refute the need for financial and investment advisors to be using social media. The author claimed that all of the hype for...
  And The First Advisor To Win One Of Three $300 Licenses To Camtasia Studio Video-Editing Software Is…
Client Communications, Andrew Gluck

Congratulations to Paul Tanner, CFA, of Granite Hill Capital Management, LLC!   Paul was the first advisor to replay a 45-minute webinar about editing videos using Camtasia Studio and to...

Win A Free License To Camtasia Studio Video-Editing Software, The Easiest Way For Advisors To Produce Videos Regularly
Advertising, Andrew Gluck

Camtasia Studio is a good software program for advisors to use to edit their own videos.   It does not have the video editing power of Final Cut Pro by Apple or Adobe Premier, which are...

  Keeping Clients In Up Markets
Client Communications, Sheryl Rowling

I'm frustrated. I lost three long- term clients this year. I'm not used to losing clients. They all had the same reason for leaving: they thought their 2013 returns should have been...

Technology

  Profiles In Success: Efficient Wealth Management
Software, Sheryl Rowling
Welcome to the first in a series of industry content designed specifically to help independent financial advisors better manage and profitably grow their firms.
  Amazon Fire Phone Looks Like A Cool New Choice And Will Probably Help Us Solve Everything With An Amazon Purchase
Phones, Andrew Gluck

Amazon has entered the mobile phone device market, which is great news because Amazon is a great for shopping online and its foray into hardware with Kindle devices has been good for consumers and...

Apple Takes Control Of Marketing To You Based On Your Location
Web, Andrew Gluck

Apple is taking control over who can use location-based advertising with iOS users.   Quartz, an eclectic online business magazine, is reporting that Apple new iOS 8 operating system is going...

One-Trick Apps Are A Key Cause Of The Disruption Revolutionizing Financial Advisor Software; Plus, How To Delete Backgrounds From Photos Easily
Advisor Applications, Andrew Gluck

What does the disruption being visited on the financial advice software business have to do with removing background images from photos? Plenty, as it turns out. Recently, I searched the Web for an...

A4A News

  Bob Keebler Says He Needs A Third 100-Minute Session To Explain 75 Ways To Generate Tax-Alpha
News, Andrew Gluck
Bob Keebler called in today to say he needs a third 100-minute, two-CE credit session to explain how to generate tax-alpha. 
ChFCs And CLUs Now Can Receive Unlimited Continuing Professional Education Credit On Advisors4Advisors Webinars Plus A Life Lesson About Doing Good
News, Andrew Gluck

ChFCs and CLUs now can receive unlimited continuing professional education credit for attending live weekly webinars held Fridays at 4 p.m. ET or 24/7 replays of the sessions.   CFPs, CIMAs,...

Incident With U.S. Marshals At Spangler Sentencing Was Simply A Misunderstanding
News, Andrew Gluck

You may already have read reports about my recent arrest in Seattle. In the spirit of transparency, I want to share with you my side of the story in my failed effort at getting a jailhouse interview...

Why Is A4A Providing An Audience Of CFPs With Ideas From CFA Institute?
News, Andrew Gluck

It was 1998 and I was standing in my old office, talking on the phone with Tom Connelly, a CFP with a Master’s Degree in Financial Planning, a CFA charterholder, and founder of an $800 AUM RIA,...

  A4A Will Keep You Updated On Actions Of Pertinent Congressional Committees During Last Session Of The Year
News, Lisa Gray

In a post on September 21, we pointed you to an AdvisorOne article that outlined 11 Congressional committees whose actions would likely be affected by the election.   Today, we'll begin to...

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