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    Category: White Papers

    Thematic Investing: Turning Insights into Alpha

    The pace of economic and technological change is accelerating at the fastest pace in human history. The significance of this rapidly-changing landscape is as obvious as it is profound. From an investment perspective, the accelerating pace of change forces investors, advisors, and money managers to consider whether a relative investment framework tied to an index largely comprised of old-economy stalwarts will remain relevant amid successive waves of economic and technological revolution. This is where thematic investing comes into play. What is Thematic Investing? Rather than attempting to generate alpha through the overweighting or underweighting of individual securities relative to...

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    Creating a Business Continuity Plan

    The Purpose of Business Continuity Plans Business continuity plans are created to ensure that businesses are not caught flatfooted during any form of business disruption, from utility outages and natural disasters to government actions and acts of terrorism. A BCP is a compilation of processes and procedures that are to be put in place upon some triggering event in order to ensure that advisors can continue to service their clients and perform the day-to-day operations of their practice. The Elements of a Business Continuity Plan The North American Securities Administrators Association (NASAA) offers advisors a useful model for developing...

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    What to Expect When You’re Expecting to Change Broker/Dealers

    The leap into the unknown is always a scary proposition. Unfortunately, the hesitation to switch broker/dealers has kept many advisors from seizing their dream of becoming independent and asserting more control over their future. The process of moving a financial advisor from his or her current broker/dealer to a new one is substantially similar from one broker/dealer to the next. However, where the new broker/ dealer truly distinguishes itself is in the commitment, resources and human talent it makes available to a financial advisor to ensure a smooth transition and the ongoing support it provides post-arrival. Conquering the fear...

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    Selling Your Practice: Determining the Value of Your Practice, Increasing its Value and Putting a Plan in Place

    Financial advisors may be the quintessential example of the old proverb, “the cobbler’s children have no shoes.” While adept at helping clients plan their financial futures, it turns out that many advisors can fall short when it comes to properly planning their own. It is estimated that over the next 10 years, nearly 70,000 advisors controlling more than $2 trillion in assets will retire. Yet, even though an advisor’s practice may represent his or her single largest asset, over two-thirds of advisors have not put into place an actionable succession plan.1 The failure to properly plan may prevent advisors...

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    Client Acquisition and Retention: Optimizing the Advisor’s Toolbox

    The American psychologist Abraham Maslow… recognized that humans have a cognitive bias that predisposes us to an over-reliance on a familiar tool. We see this predisposition across many professions, from surgeons to computer programmers and, yes, even with psychiatrists. As it relates to financial advisors and their efforts around client acquisition and retention, the tools available to them are familiar ones, e.g., e-mails, seminars, social media, etc. Yet, like the hammer, these tools may be used more out of habit or convenience, without regard to whether the opportunity in front of them is a nail or a screw. In...

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