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    Tag: independent broker/dealer

    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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    Re-Configuring America’s Supply Chains

    American businesses are increasingly examining their supply chains to reduce their reliance on Chinese sourcing. This was catalyzed by the trade war between China and the U.S., and accelerated by the coronavirus (COVID-19) pandemic.

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    Millennial Financial Advisors

    One of the biggest ways in which Millennial financial advisors will drive permanent change is through their high expectations for the role of technology in delivering advice and communicating with their clients and prospects. Learn more…

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