Gaining Perspective

One of the hardest parts of planning for our loved ones with disabilities is getting started. It’s overwhelming. Thinking of who will care for your child when you or your partner cannot is not easy. While we realize no one will care for your child like you do, you need to plan for the day when you no longer can. In this session, we talk about one tool that may help with some of the financial respo...

Several factors point to why this is an exceptional time to invest in small-cap stocks. Small-cap stocks tend to outperform after inflation peaks and in the aftermath of recessions. Small-cap valuations are at 20-plus-year lows relative to large-cap equities. Earnings revisions for small caps are stabilizing and beginning to outpace those of large caps. The M&A market is recovering, which hist...

Private equity has backed many of the recent acquisitions in the RIA profession. Indeed, approximately 77% of transactions in the first quarter of this year involved private-equity funding. Many of the largest acquirers are backed by PE firms, including Mariner, Carson, Mercer, Focus, Savant, Pathstone and the Wealth Exchange Group. When evaluating a PE-backed acquirer, there are a few things to c...

The SouthernSun Small Cap fund (symbol: SSSIX) is up 13.5% this year, versus 10.33% (as of July 18, 2023) for its Morningstar small-blend peer group. Last year was even more impressive, when it was down only -1.37%, versus its peer group, which was down -16.24%, putting SSSIX in the first percentile of that peer group. It has approximately $400 million in assets and is a highly concentrated portfo...

Great things rarely occur within your comfort zone. Earning revenue via commission-based mutual funds or annuities might seem straightforward and familiar, but it isn’t a sustainable way to grow your practice. There’s been a steady trend in the advisory profession to fee-based practices and holistic wealth-management services. But just because this trend is widespread doesn’t mean that transitioni...

Hamilton Lane (Nasdaq: HLNE) is one of the largest private-market investment firms globally, with nearly $857 billion in assets under management, providing innovative solutions to institutional and private wealth investors around the world. In this episode, my guest, Steve Brennan, will discuss the private market opportunity for advisors and HNW investors. For financial advisors looking to minimiz...

Standpoint is an investment firm focused on providing all-weather investment solutions to U.S. financial advisors. An all-weather approach is an asset allocation methodology that diversifies across geographic regions, asset classes, and investment styles. The goal of this multi-layered diversification is to shield investors from the pitfalls of concentrated investing by relying on thoughtful prepa...

NEOS is an ETF sponsor, and its ETFs aim to deliver the next evolution of options strategies that seek income as the outcome. Built on decades of research and experience, NEOS ETFs aim to empower investors with portfolio building blocks to provide high monthly income, tax efficiency, and diversification through data-driven options-based ETFs. Today, we’ll be speaking with Garrett Paolella of NEOS...

Uncertainty around the direction of inflation, interest rates, and the U.S. economy will continue to drive market volatility. Doug Wolff, the CEO of Security Benefit – a leader in the U.S. retirement industry – is my guest today to offer valuable insight on how to navigate this landscape for the remainder of 2023 and beyond. The traditional 60/40 asset mix is facing several challenges due to that...

Churchill Asset Management invests in middle-market companies. It is part of Nuveen, and it raises capital from investors through comingled funds, separately managed accounts, business development companies (BDCs) and collateralized loan obligations (CLOs). In February, Nuveen and Churchill announced the launch of PCAP, a BDC that offers individual investors access to private capital investments a...

Spear Advisors is a fundamental asset manager specializing in industrial technology. My guest today is the founder of Spear. She will explain how investors can do better than passively tracking the broader market. You will hear why adding a thoughtfully managed product to your portfolio can help you capture more upside in the long run. - Here is a link for more information about Spear Advisors: Th...

Few of the advisors who will listen to this podcast have had professional careers that spanned a period of rising interest rates. But rates have been rising, and passive allocations to bonds or stocks cannot be counted on to provide the same results they did for the last 40 years. Given that regime change, my guest today is here to discuss what should be the appropriate allocation to fixed income...

Schwab Charitable donors gave $4.7 billion in 2022 despite the difficult economic environment, up 7% from the year before. Schwab Charitable's mission is to increase giving in the U.S. with donor-advised funds and philanthropic resources that make charitable giving tax-smart, simple, and efficient. Here today to talk about how advisors can help support clients’ charitable giving and planning, and...

Saving for college and other educational needs is one of the most pressing financial planning concerns. Investors are looking to their financial advisors for guidance. In this episode, we’re going to look at the role 529 plans play and why they’re so important in improving client outcomes and in supporting practice management. My guest, Leslie Geller, will be talking about the expanded set of educ...

Asset-Map is a tool for financial professionals to visually map and provide feedback on their client’s financial picture. With better insights into a client’s financial inventory, advisors can help clients identify risks, opportunities and track progress to their financial goals. Adam Holt joins me to discuss Asset-Map and his vision for the future of technology-enabled advice delivery. - Here are...

At of the start of this year, Rick Pitcairn took on a new position as the chief global strategist at Pitcairn, a 100-year-old multi-family office with $7bn in client assets. In this position, he is focusing on macro-economic trends and is searching for new global initiatives that will add to the firm’s growth. Rick recently journeyed to India where he met with some of the wealthiest local families...

As an advisor-growth solution, SmartAdvisor™ continuously focuses on helping advisors grow their practices. Last month, in April 2023, it acquired DeftSales, a leading prospect engagement company for financial professionals. DeftSales and SmartAsset™ will combine to offer a robust user interface that is fully compliant, including automated campaigns and analytics, which allow advisors to spend mor...

Some of the most common questions clients ask advisors revolve around retirement : How should I save for retirement? Will I have enough money to retire? Will I be able to leave something behind for my children or for philanthropic causes? New research from Dimensional addresses these questions. The study found that investors who tilt towards size, value, and profitability in their equity allocatio...

Many investors view real estate as an attractive long-term investment opportunity that plays an important role in portfolio diversification . With that in mind, Columbia Threadneedle Investments recently announced the expansion of its exchange-traded fund offerings with the launch of the Columbia Research Enhanced Real Estate ETF (Ticker: CRED). The fund offers investors and allocators an accessib...

BNY Mellon Investment Management recently launched its latest suite of thematic ETFs, including the BNY Mellon Innovators ETF. It is managed by John Porter, who joins us today to discuss the ETF, what it means to invest in innovation, and why thematics. The BNY Mellon Innovators ETF was created to support innovation across a wide range of industries and sectors, not just technology. It invests in...

Building a marketing presence is essential to the success of an advisory practice.  Gone are the days of dinner seminars and cold calling.  Today, marketing success requires not just understanding but mastering digital technology – disciplines like search engine optimization, social media and text messaging.  To make that challenge more daunting, it must be done at scale and continually adapt to n...

According to new research from Fidelity, just one in five advisors has an asset-weighted client age under 60. The average firm derives an overwhelming majority of its revenue from older clients, yet advisors have initiated contact with just 13% of their clients’ children. Meanwhile, despite women’s burgeoning share of the wealth pie, financial professionals are missing out on a $14 billion opportu...

Last year, 2022, saw record annuity sales across several categories. Now, nearly halfway through 2023, many of the same macro-economic factors that drove sales last year are still present. While it’s too soon to say what 2023 annuity sales will look like, our guest today will share why annuities can be a valuable addition to a retirement strategy, regardless of market and economic conditions. - He...

Helios was founded in 2016 with the goal of equipping advisors with new and relevant tools that could drastically improve their client's asset management experience, expand their firm's margins, and challenge the old-guard legacy providers as well as the emerging robos of Silicon Valley. Chris Shuba identified services that lacked innovation and were too expensive. He and his team created their ow...

Educating children on basic financial concepts from an early age can set a practice apart while empowering your clients’ children. The benefits of doing so are many, including earning goodwill and trust from parents and providing an opportunity to connect with the “next-gen” investor in early and constructive ways. - Here are some additional resources to learn more about Phillipp and Bento Engine:...