Financial Careers Articles

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  1. Is Greater Oversight of RIAs Coming?

    RIAs may be entering an era of greater oversight by the Securities and Exchange Commission. Here's why.
  2. MBA or CFA: Which Is Better for a Career in Finance?

    Potential financial advisors, analysts or asset managers have many credentials and degrees from which to choose. Here's a ...
  3. World's Top 10 Insurance Companies

    These are the 10 largest insurance companies in the world.
  4. Advisors: Clients Must Take First RMD by April 1

    For clients required to take their first required minimum distribution from a retirement account, April 1 is a key deadline ...
  5. Why Advisors Need to Go 'All In' on Technology

    Technology has raised the bar for advisors in many ways. Here's why ignoring the progression of financial services tech can ...
  6. Is it Too Easy to Become an RIA?

    If you want to become an RIA all you have to do is pay a $165 fee to the SEC and pass the Series 65 exam. Is the bar set ...
  7. Retired? Here Are the Best Robo-Advisors for You

    Robo-advisors are often associated with young investors, but there are a few online services that cater to retirees. Here's ...
  8. How to Know if Your 401(k) Plan Fees Are Too High

    Finding out how much you are paying for your 401(k) plan takes some research, but you should know exactly what you are getting ...
  9. Top Hacks to Protect Clients from Tax Scams

    There are many ways that clients can be victimized in today’s digital world, but there are also many ways to protect against ...
  10. Are Advisors and YouTube a Good Match?

    Financial advisors that leverage YouTube can differentiate themselves in an increasingly crowded market.
  11. 7 Top Non-U.S. Robo-Advisors

    Want a global perspective on your finances? Maybe you should consider going with one of these international robo-advisors.
  12. The Pros, Cons to the DoL's Fiduciary Rule Changes

    The DoL's new fiduciary rule change is the source of much debate in the financial industry and retirement planning community. ...
  13. Difficult Client? Here's What's Really Ailing Them

    Maintaining a good working relationship with difficult clients might mean playing the role of therapist. Here's some help ...
  14. Deutsche Asset Management: Investment Manager Highlight

    Read about the global operations of Deutsche Asset Management, an institutional investment and retail fund manager with $846 ...
  15. BNP Paribas Investment Partners: Investment Manager Highlight

    Read about the investment operations of BNP Paribas Investment Partners, the asset management arm of the French banking giant ...
  16. Why Advisors Shouldn't Fear a Recession

    Advisors who have clients who may fear a recession should take note that there is always some opportunity in a volatile market.
  17. Strategies for Protecting Your Income from Taxes

    Taxes are difficult to avoid, but there are many strategies you can find to help ward them off a bit. Here are a handful ...
  18. Politics and Your Clients: Don’t Go There

    When it comes to politics, advisors need to be careful where they tread. Here’s how to successfully negotiate these choppy ...
  19. How to Save More in Taxes When Giving to Charity

    A good option for IRA owners looking to lower their adjusted gross incomes exists. Here's how the qualified charitable distribution ...
  20. Wells Capital Management: Investment Manager Highlight (WFC)

    Read about Well Fargo & Company's institutional asset management subsidiary Wells Capital Management, a firm with over $348 ...
  21. UBS Asset Management: Investment Manager Highlight

    Read about the investment management operations of UBS Asset Management, a global operation with $649 billion in assets under ...
  22. Manulife Asset Management: Investment Manager Highlight (MFC)

    Read about Manulife Financial Corporation's global investment management unit, an operation with more than $300 billion in ...
  23. DOL Fiduciary Rule: RIAs See Negative Impact

    A recent survey by Fidelity found that RIAs are among those who think the DOL's fiduciary rule will have a negative impact ...
  24. Principal Global Investors: Investment Manager Highlight (PFG)

    Learn about the investment operations of Principal Global Investors, the Principal Financial subsidiary with more than $36 ...
  25. Oak Investment Partners: Investment Manager Highlight (ODP, DKS)

    Learn about the operations of Oak Investment Partners, a private equity firm with 13 venture capital funds invested primarily ...
  26. Melon Capital Management: Investment Manager Highlight (BK)

    Learn more about the investment management operations of Mellon Capital Management, a BNY Mellon subsidiary with over $329 ...
  27. How Advisors Can Plan for Fiduciary Rule Changes

    The DOL's new fiduciary rule will soon become law. Here's how advisors should start planning for its far-reaching impact. ...
  28. Market Sagging? How to Keep Retirement on Track

    Crafting a realistic retirement plan capable of weathering a volatile market for clients can be tough. Here are some tips ...
  29. Expect FINRA to Ask These Culture Questions

    This month, FINRA kicks off its culture examinations for brokerage firms. Here's how to cram for the test.
  30. Broker Or Trader: Which Career Is Right For You?

    A day in the life of a broker or trader is an exciting and varied one. Find out how to decide between these two financial ...
  31. The Coming Fiduciary Rule: Advisor, Client Impact

    The proposed DOL fiduciary standard has wide ranging implications for advisors and their clients. Here's an overview for ...
  32. Social Security Benefits for Children: How They Work

    There are millions of children in tough situations who receive Social Security benefits each month to help with finances. ...
  33. How to Avoid Advisors Who've Been Disciplined

    It's not hard to find out if a potential financial planner has a shady past. Here's why it's so important to check an advisor's ...
  34. New Annuity Offers Healthcare Coverage

    Genworth has introduced an annuity for those who may not pass the underwriting guidelines for traditional long-term care ...
  35. These are the Top RIAs in 2016

    These RIAs are the best in 2016, according to Financial Planning magazine.
  36. The 8 Biggest International Asset Managers in 2016 (ALV, LGEN)

    Learn more about eight of the largest investment management companies headquartered in Europe, as ranked by assets under ...
  37. Why ETFs Can Help Snag More Wealthy Clients

    Here's why becoming an expert in ETF offerings can benefit advisors looking to add more wealthy clients to their roster. ...
  38. Advisors: Stay Ahead of These Trends in 2016

    What does 2016 hold for advisors? Here's a rundown of the trends—good and bad—they're facing and what they'll need to do ...
  39. Top Ways to Guard Against Financial Elder Abuse

    Financial elder abuse is rampant. Here are some steps that you and your family can take to help guard against financial scams ...
  40. Are Target Date Funds Right for Your 401(k) Plan?

    Target-date funds are a popular investment option in 401(k) plans. Are they always a good fit?
  41. 5 Signs Fund Fees Are Hammering Your Investments

    The worst long-term killer of investment gains isn’t the market; it’s fees, especially for retirement accounts. How do you ...
  42. Who Advisors Should Be Following on Twitter

    Twitter has become an important tool for financial advisors. By looking at some top Tweeters, advisors can improve their ...
  43. Small RIAs: Here's How to Level the Playing Field

    There are many ways in which small RIAs can compete with bigger firms. Here's how independent advisors can establish themselves ...
  44. These 13 States Tax Your Social Security Benefits

    It may surprise many that Social Security benefits are taxed. The best way to not let it derail your tax situation is to ...
  45. Here's How to Duck a FINRA Slap on L Shares

    Regular and L-share annuity contracts come with back-end surrender charges that clients should know. Here's how to steer ...
  46. The Fiduciary Rule: What Advisors Need to Know

    The rules surrounding the DOL's fiduciary proposal are confusing for advisors and clients. Here’s what we know so far.
  47. Is the Roth IRA Under Threat?

    Roth IRAs are one of the most popular retirement savings accounts. Could Congress ever decide that too much money is being ...
  48. Why Financial Advisors Should Focus on Recruitment

    Here's why financial advisory firms should be putting recruiting at the forefront of their agendas to keep pace with the ...
  49. Top Portfolio Rebalancing Software for Advisors

    Portfolio rebalancing software has grown in popularity among advisors in recent years. Here's why and a look at some of the ...
  50. Allianz Global Investors: Investment Manager Highlight (ALV)

    Take a closer look at Allianz Global Investors, a worldwide asset management company with more than $477 billion in assets ...
  51. Artisan Partners: Investment Manager Highlight (APAM)

    Learn about Artisan Partners Asset Management, including its unique business model and diverse selection of investment strategies.
  52. GE Asset Management: Investment Manager Highlight (GE, ELFNX)

    Read more about GE Asset Management, the General Electric Company (GE) subsidiary with approximately $115 billion in assets ...
  53. JPMorgan Asset Management: Investment Manager Highlight (JPM)

    Read about the asset management arm of JPMorgan Chase & Company, one of the largest banking and financial services companies ...
  54. Legg Mason: Investment Manager Highlight (LM)

    Read about Legg Mason, one of the world's largest asset management firms, and learn more about its multi-manager approach ...
  55. John Paulson's Success Story: Net Worth, Education & Top Quotes

    Learn about the early life and distinguished career of John Paulson, the hedge fund manager who made billions betting on ...
  56. Mohamed El-Erian Vs. Bill Gross: The Two Bond Kings (C, JNS)

    Discover how Bill Gross and Mohamed El-Erian, two investors who preach eliminating emotion from investing decisions, let ...
  57. Mohnish Pabrai's Success Story: Net Worth, Education & Top Quotes

    Discover how Mohnish Pabrai became a successful value investor and why he wants to give most of his wealth to the poorest ...
  58. Advisors: How to Ask Friends for Social Media Help

    Social media can be a difficult endeavor for those who didn’t grow up around technology, but younger friends and family can ...
  59. Top Tech Trends for Advisors in 2016

    This year's tech trends for the financial advisor sector—from robo-advisors to data harnessing—will revolve around flexibility, ...
  60. Active Management Enters the Robo-Advisor Arena

    Robo-advisors, which typically offer passively-managed investments, are starting to offer actively-managed investments.
  61. Western Asset Management: Investment Manager Highlight (LM)

    Learn more about Western Asset Management, a Legg Mason subsidiary and fixed-income specialist with more than $433 billion ...
  62. Should You Choose a Fee-only Financial Advisor?

    Is working with a fee-only financial advisor always your best option?
  63. 4 Reasons Your Financial Advisor Could Dump You

    Sometimes, you are not the one who calls things off with your advisor – and these reasons could explain why.
  64. 3 Different ETF Strategies for Your Portfolio

    If the world of investing feels like it’s become more confusing lately, you’re not imagining things. Market volatility has ...
  65. How to Navigate a Lousy 401(k) Plan

    Here are some strategies to help clients who have a less-than-stellar 401(k) plan.
  66. Advisors: Why You Should Avoid Trying to Do it All

    Few advisors are capable of providing services in all aspects of financial planning alone. Here's what to do to effectively ...
  67. Top Tax Strategies for Clients in a Bear Market

    So far 2016 has been off to a shaky start. Here are some tax strategies to help offset the pain.
  68. Stephen Schwarzman's Success Story: Net Worth, Education & Top Quotes (BX)

    Learn more about the life of Stephen A. Schwarzman, one of the most influential and successful people in private equity in ...
  69. What a Career in Impact Investing Could Look Like (C, JPM)

    Learn about careers in impact investing. This rewarding business career makes it possible to earn money for clients and impact ...
  70. 5 Simple Steps for Setting Smart Investing Goals

    One of my favorite financial advisor mantras is that it’s not always what you own, but why you own it, that counts. Learn ...
  71. 5 Fabulous Behaviors of Financially Successful Women

    In a day like today, International Women’s Day 2016, we hope to take steps to normalize the conversations between money, ...
  72. How Fidelity is Angling its New Robo-Advisor

    Fidelity has joined the ranks of major firms offering robo-advisor services. Here's an introduction to Fidelity Go and what ...
  73. Financial Advisors' Next Big Tech Tool: Big Data

    Here's how big data is playing a crucial role in the work life of financial advisors and some strategies on how to take advantage ...
  74. Why Age 70 is Pivotal for Retirement Planning

    Age 70 marks the time that you will have to start thinking about RMDs for real, but it's better to start planning for them ...
  75. Why Advisor Teams Produce Better Results

    If you haven't considered working in a team environment, here's the research that shows why it's so beneficial for your financial ...
  76. Robo-Advisor Platforms: Vanguard vs. BlackRock

    BlackRock and Vanguard have both added robo-advisor platforms recently. How do they compare?
  77. John Hancock Investments: Investment Manager Highlight

    Learn about John Hancock Investments, its leaders and its unique manager-of-managers approach to the asset management business.
  78. Why Financial Advisors Love and Hate Donald Trump

    Based on personality, tax and economic policies, financial advisors are understandably split on Donald Trump. Here's what ...
  79. Banks Take Heed of Wealthy's Use of Robo-Advisors

    The wealthy's increasing use of robo-advisors is putting pressure on traditional banks to add similar services to compete. ...
  80. How to Value Art and Dodge the IRS on Death Taxes

    Appraising artwork can be a very inexact process, and an estate could face penalties from the IRS for undervalued works. ...
  81. Bruce Kovner's Success Story: Net Worth, Education & Top Quotes

    Learn about the life of Bruce Kovner, one of the most successful hedge fund managers in the United States and one of its ...
  82. Ray Dalio's Success Story: Net Worth, Education & Top Quotes

    Read about Ray Dalio, one of the most successful investors in the United States and founder of the world's largest hedge ...
  83. Ken Fisher's Success Story: Net Worth, Education & Top Quotes

    Learn about the rise of Kenneth Fisher, the would-be forester who became the founder of one of the largest money management ...
  84. Going RIA? Consider These Top Transition Hacks

    Here are some best practices for advisors moving from a broker-dealer format to a registered investment advisor platform. ...
  85. These Robo-Advisors Have the Lowest Fees

    These robo-advisors all have low fees, but what they offer and require differs.
  86. How to Optimize Taxable Portfolios in Bear Markets

    A bear market presents an opportunity for financial advisors to optimize clients' taxable portfolios.
  87. How the Election Year Will Impact Your Practice

    Who wins the presidency isn't the only political factor that will impact business and your practice this year. Here's what ...
  88. How the Fiduciary Rule Will Impact Annuity Sales

    If the DOL's fiduciary rule is enacted it will result in radical changes to how annuities are sold and marketed and how advisors ...
  89. These Robo-Advisors are Growing the Fastest

    The growth of robo-advisors has been impressive in recent years. Here are the ones that are growing the fastest.
  90. What Hiring a Financial Advisor Costs in 2016

    When it comes to the price tag on a financial advisor's services, transparency is often lacking. That's why it's important ...
  91. REITs: Still a Viable Investment?

    Are REITs viable investments now? Here's a look at the history of REITs' performance during rocky economic times and other ...
  92. How Robo-Advisors Fall Short of Fiduciary Proposal

    Some industry regulators and experts have warned that robo-advisors are not yet capable of meeting the fiduciary standard.
  93. Tips to Help Retirees Combat Low Interest Rates

    Planning for retirement in a zero interest rate environment can be tricky. Here are some ways to make it work and generate ...
  94. If You Win a Broker Arbitration, But Can't Collect

    Here's what to do next if your broker stiffs you when you win an arbitration.
  95. How Can Technology Make You a Smarter Investor?

    Managing money these days has become very similar to planning a trip as people use the same strategy of combining personal ...
  96. Are Smart Beta ETFs Active, Passive or Both?

    Are smart beta ETFs a form of passive management, active management or a hybrid of both?
  97. How New Rules Impact Indexed Universal Life Sales

    Indexed universal life insurance is growing in popularity. Here's how recently enacted new rules will effect the sale of ...
  98. Why HSAs May Trump 401(k)s for Retirement Savings

    In many cases, it makes a lot of financial sense to use a health savings account instead of a 401(k) plan to tuck money away ...
  99. How Student Debt Imperils Retirement Savings

    Student loan debt is out of control. Here is how it can impact saving for retirement.
  100. Top Tax Planning Tips for Volatile Markets

    Volatile markets provide several ways to lower tax bills ... if you play your cards right.
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