The Assets: Portfolio management
January 14, 2021
Citigroup Consolidates Global Wealth Management Business
Citi Global Wealth serves clients from the affluent segment to ultra-high-net-worth individuals.
January 12, 2021
First Step to Crypto for FAs: Understand the Regulations
The "first place that firms are getting into trouble is that they are not appropriately evaluating the regulatory posture of what they're considering," says Carlo di Florio, chief services officer at ACA Compliance.
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January 7, 2021
Family Offices Warm Up to Hedge Funds Again
Investment firms managing money for the world’s wealthiest families are also interested in private equity and real estate, as well as sustainable investments.
January 5, 2021
Why It's Important to Discuss Risk Tolerance with Clients
Alishia Terrill of O.N. Equity Sales Company explains how conversations about investment risk can help avoid overly emotional decision-making.
Video [ 3:28 ]
January 4, 2021
Wirehouse Executives’ Promises for 2021
New and improved technology, such as fractional share capacity, is on the agenda, according to execs’ previously announced plans for 2021.
December 31, 2020
#2 Here's the Problem with Move from Commissions to Fee-Based Comp (12-08-20)
Alishia Terrill, of O.N. Equity Sales Company, says "smaller" investors tend to lose out.
Video [ 2:51 ]
December 23, 2020
Most Read FA-IQ Articles in 2020
Today's issue of Financial Advisor IQ looks back at the 10 most-read articles on our publication this year.
December 22, 2020
Insider Trading, Conflicts of Interest Pegged as Exam Priorities for 2021
Former SEC and Finra official Carlo di Florio says regulators will likely focus on Regulation Best Interest during inspections next year.
Video [ 3:43 ]
December 17, 2020
Advisors Wary of Cryptocurrencies Even as Client Queries Rise
With the price of Bitcoin surging, some advisors are tamping down client enthusiasm about potential cryptocurrency investments, they say.
December 15, 2020
Most DIY Investors ‘Satisfied’ with 2020 Performance, While Some Want FA Advice: E*Trade
Meanwhile, the top financial lesson for self-directed investors this year has been to stay the course, according to a survey.