Top Stories
If You Are Still Using Windows XP Beware edit
Technology, Software, Brian Edelman
As an IT services company we are on the front line of defending computers.  We have seen a significant increase in the amount of viruses and hack attempts to our clients that have chosen not...
 
Tips to Increase Your Productivity and Regain Control of Your Time (and Possibly Your Sanity!) edit
Managing, 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...
 
The SEC Has Published A Cybersecurity Preparedness Guide, Will You Pass The Audit? edit
Technology, Security, Brian Edelman
The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) will be conducting examinations of more than 50 registered broker-dealers and (RIA)...
 
How To Use Behavioral Finance Techniques To Generate “Advisor Alpha” In Financial Planning Relationships edit
Advice, Financial Planning, Andrew Gluck
Scott Burns and Uri Pomerantz, who have designed an app to help financial advice professionals capture the three-percentage points of return annually squandered by consumers on common behavioral...
 
Heartbleed May Be the Worst Security Hole The Internet Has Ever Seen edit
Technology, Security, Brian Edelman
Millions of passwords, credit card numbers and other personal information is at risk as a result of a major breakdown in Internet security.
 
How Much Is Everything On Your Computer Worth To You? edit
Technology, Web, Brian Edelman
Criminals behind a vicious virus, Cryptolocker, are betting between $300 and $2500.  With just one innocent click any one employee can cause the data for an entire company to be...
 

Advice

  How To Use Behavioral Finance Techniques To Generate “Advisor Alpha” In Financial Planning Relationships
Financial Planning, Andrew Gluck
Scott Burns and Uri Pomerantz, who have designed an app to help financial advice professionals capture the three-percentage points of return annually squandered by consumers on common behavioral...
  Six Hypocrises of the Life Insurance Industry
Insurance, Glenn Daily

  Yes, I know what you’re thinking: only six? But let’s start with these, and you can add to the list.

What Is Cash Value Life Insurance?
Insurance, Glenn Daily

Which one is the best choice? Cash value life insurance is… A. an expense. B. a combination of protection and savings. C. a way of prepaying future insurance costs.  

Discount Code For A4A Members For My StockOptions.com -- A Great Resource With Tax Season Upon Us
Tax, Andrew Gluck

  With tax season in full swing and stocks showing huge returns in recent years, advisors are dealing more with tax issues related to stock options, restricted stock and other compensation...

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 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...

  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 a Nebraska clearing firm for repeatedly violating anti-money laundering (AML), financial reporting and supervisory...

Industry

  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®)...

Advisor Clients Often Think Their Kids Are A Shoo-In For Entrance To Elite Colleges, But Good Grades And A Legacy No Longer Are Enough
Advisor Business, Patricia Krahnke & Bruce Neimeyer

Say your client’s child has great grades, tons of “Advanced Placement” credits, high SATs and SAT IIs, went to all the right summer camps, and has legacy 10-ancestors deep at an Ivy...

Investing

  Stress Testing: The Coming Paradigm Shift
Strategies, HiddenLevers
The world is a tumultuous place. Interest rate squeeze, tech bubble 2.0, housing rebound, commodities deflation, Obamacare. Pick any world event and it’s on the brink of changing the market....
  10 Minutes With Independent Economist Fritz Meyer On Whether The Bull Market Is Ending; Fritz Gets A 4.8 Rating From Attendees
Strategies, Andrew Gluck

How does a speaker on investments go before an audience of independent practitioners month after month and consistently earn a 4.8 star-rating from attendees?   There’s only one...

Practitioners Should Alter Their Approach To Clients Based On A Simple Behavioral Finance Profiling System
Strategies, Andrew Gluck

Are you altering your approach to investors based on the type of behavioral investor they are? Prof. Victor Ricciardi, who will be speaking about behaviorial finance at this Friday's A4A webinar,...

Fritz Meyer Gets A 4.7-Star Rating From Advisors Attending His January 2014 Economic Update, But There’s Always One Scathing Review For Even The Best Presentations
Strategies, Andrew Gluck

  Fritz Meyer gave a brilliant update on the economy Tuesday, and he received a 4.7 rating from the 71 advisors who took the time after the Webinar to score his presentation on A4A’s...

Managing

  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...
Navigating the Potholes On Your Road to Success
Practice Management, Reid Stone

Living in Minnesota, as the snow begins to slowly melt on our roads this time of year, the roads begin to show the wear and tear from the long winter and ever-changing weather conditions. For anyone...

  CFA Institute's Stephen Horan Connects The Dots Of Performance Reporting, The Future Of Finance, And How To Build A Successful RIA
Practice Management, Andrew Gluck

Stephen Horan, managing director and co-lead of education programming at CFA Institute, rocked the world of professional financial advisors at a webinar session just minutes ago. He nailed it. I...

Giving Good Subhead And Other Tricks For Writing Content People Will Read — And That’s Search-Optimized
Personal Development, Andrew Gluck

  Okay, the headline was a cheap trick, a crude grab for attention playing on our lust for titillation. But the underlying message is serious and important.   Writing today –...

Marketing

  Wasting Your Money
Client Communications, Sheryl Rowling
How do you spend your marketing dollars? If you are like most advisors, you probably spend a fair amount of money on current clients, with outlays for:
Is Preparing Tax Returns Worth It?
Client Communications, Sheryl Rowling

I'm a financial advisor. Ninety percent of my revenue comes from investment management. The other ten percent is split between financial planning fees and tax return preparation. For the last six...

Beware The CPA!
Client Communications, Sheryl Rowling

 Doing your best for clients can get you into trouble. As a responsible investment advisor, you try to pay attention to all of the details:

  How Often Should Advisors Blog, Post Status Updates, And Send Email Newsletters? Why The Frequency And Tone Of Client Communications Are As Important As Your Message
Client Communications, Andrew Gluck

Financial advisors are not selling deals on electronics. They’re not Internet marketing hustlers. They’re not magazine publishers. On social media, financial advisors want to come off...

Technology

  If You Are Still Using Windows XP Beware
Software, Brian Edelman
As an IT services company we are on the front line of defending computers.  We have seen a significant increase in the amount of viruses and hack attempts to our clients that have chosen not...
The SEC Has Published A Cybersecurity Preparedness Guide, Will You Pass The Audit?
Security, Brian Edelman

The U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) will be conducting examinations of more than 50 registered broker-dealers and (RIA)...

Heartbleed May Be the Worst Security Hole The Internet Has Ever Seen
Security, Brian Edelman

Millions of passwords, credit card numbers and other personal information is at risk as a result of a major breakdown in Internet security.

How Much Is Everything On Your Computer Worth To You?
Web, Brian Edelman

Criminals behind a vicious virus, Cryptolocker, are betting between $300 and $2500.  With just one innocent click any one employee can cause the data for an entire company to be...

A4A News

  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...

Why Did A4A Stop Sending The Daily Digest? Because Sometimes Less Is More
News, Andrew Gluck

Some months ago, Advisors4Advisors stopped sending the Daily Digest, a daily summary of top stories we thought advisors needed to read. My decision to stop sending an email daily to registered...

How CFP, CIMA, CIMC, CPWA, And CPA Professionals Receive Continuing Professional Education By Joining Advisors4Advisors
News, Andrew Gluck

Advisors4Advisors is a continuing education sponsor for CFP, CPA, CIMA, CIMC, and CPWA professionals. A4A members receive credit by following the instructions below.

  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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