How to NOT Sound like a Washing Machine Salesman on LinkedIn

By |June 15th, 2021|Guest Posts, Investment Advisor Education, Other Insights|

I’m constantly hearing from financial advisors who are getting nowhere on LinkedIn, despite having invested considerable time and money. In this post, I'll provide some guidance on how to avoid sounding like the typical (boring) [...]

We Should Increase Trust in Financial Services

By |April 26th, 2021|Financial Planning, Research Insights, Basilico and Johnsen, Academic Research Insight, Investment Advisor Education, Behavioral Finance|

Trust and Financial Advice Burke and HungJournal of Pension Economics and Finance, 2021A version of this paper can be found hereWant to read our summaries of academic finance papers? Check out our Academic Research Insight category What are [...]

An Economic Framework for ESG Investing

By |March 22nd, 2021|ESG, Research Insights, Basilico and Johnsen, Academic Research Insight, Investment Advisor Education, Machine Learning|

Responsible Investing: The ESG Efficient Frontier Pedersen, Fitzgibbons, and PomorskiJournal of Financial Economics, 2020A version of this paper can be found hereWant to read our summaries of academic finance papers? Check out our Academic Research Insight category What [...]

ESG Factors and Traditional Factors

By |February 16th, 2021|ESG, Research Insights, Factor Investing, Basilico and Johnsen, Academic Research Insight, Investment Advisor Education|

Toward ESG Alpha: Analyzing ESG Exposures through a Factor Lens Ananth Madhavan, Aleksander Sobczyk and Andrew AngFinancial Analyst Journal, 2021A version of this paper can be found hereWant to read our summaries of academic finance papers? Check out our Academic [...]

Battle of the Sexes, Who’s Better at Fudging the Numbers?

By |January 19th, 2021|Research Insights, Women in Finance Know Stuff, Basilico and Johnsen, Academic Research Insight, Investment Advisor Education, Machine Learning|

CFO Gender and Financial Statement Irregularities V.K.Gupta, S. Mortal, B. Chakrabarty, X. Guo, D. B. TurbanAcademy of Management Journal, 2019A version of this paper can be found hereWant to read our summaries of academic finance papers? [...]

How Powerful is the Wealth Effect?

By |January 4th, 2021|Financial Planning, Research Insights, Basilico and Johnsen, Academic Research Insight, Investment Advisor Education|

Stock Market Returns and Consumption Marco Di Maggio, Amir Kermani and Kaveh MajlesiJournal of Finance, 2020A version of this paper can be found hereWant to read our summaries of academic finance papers? Check out our Academic Research [...]

Can A Computer Read Employee Emails and Detect Fraud?

By |October 19th, 2020|Research Insights, Basilico and Johnsen, Academic Research Insight, Investment Advisor Education, Machine Learning|

Zero-Revelation RegTech: Detecting Risk through Linguistic Analysis of Corporate Emails and News S.R. Das, S. Kim, B. KothariJournal of Financial Data Science, Spring 2019A version of this paper can be found hereWant to read our summaries [...]

Planning Opportunities: Why Gift It, If You Can Loan It?

By |July 16th, 2020|Financial Planning, Research Insights, Guest Posts, Investment Advisor Education|

The coincidence of historically low-interest rates and the increased gift tax exemption under the 2017 Tax Cuts and Jobs Act has temporarily created an opportunity for high net worth families to tax-efficiently transfer wealth from generation to generation. Of course, families can use their [...]

What Induces Children to Save (More)?

By |August 27th, 2019|Financial Planning, Research Insights, Investment Advisor Education, Behavioral Finance|

What Induces Children to Save (More)? Moritz Lukas (University of Hamburg) and Markus Nöth (University of Hamburg) A version of this paper can be found here Want to read our summaries of academic finance papers? Check [...]

Structured Notes: The Exploitation of Retail Investors

By |August 22nd, 2019|Research Insights, Larry Swedroe, Investment Advisor Education, Active and Passive Investing|

One of the most well known and most beloved forms of literature is the fairy tale. Although most fairy tales are not about fairies, they are fictitious and highly fanciful tales of legendary deeds and [...]

Webinar Tomorrow (11/8): SEC Cybersecurity Requirements and Advisors

By |November 7th, 2018|Cyber Security Programs, Investment Advisor Education|

Readers: Pat Cleary, our CCO/COO, will be sharing his insights on cybersecurity. (see here for a sample of his work). Webinar abstract: In this webinar, Patrick Cleary will demystify the world of cybersecurity and provide [...]

SEC Cybersecurity Requirements for Registered Investment Advisors (RIAs)

By |September 26th, 2018|Research Insights, Cyber Security Programs, Investment Advisor Education|

Warning: This cybersecurity post is a monster and meant to be a reference for financial advisors looking to build out a robust cybersecurity advisor solution. If blog posts were food, this would be a steaming [...]

Vendor Management and Cybersecurity Compliance for RIAs

By |August 1st, 2018|Cyber Security Programs, Investment Advisor Education|

The Maginot Line, built by the French after World War One, is a perfect metaphor for most cybersecurity programs, particularly those of financial advisors. The Maginot Line: A perfect metaphor for most cybersecurity programs [...]

Cybersecurity Series: Penetration Testing for Financial Advisors

By |December 19th, 2017|Cyber Security Programs, Investment Advisor Education|

Cybersecurity is much like boxing, combat, or discussing finances with your spouse: You can train all you want, but you never really know your true grit until you face your adversary face to face. [...]

How to Build an Investment Advisor Cybersecurity Program

By |November 7th, 2017|Cyber Security Programs, Investment Advisor Education|

As a proud alumnus of the Marine Corps (OMB Breach), filer of SEC materials (SEC breach), and card-carrying member of credit card carrying people (Equifax breach), not a week goes by without some headline reminding [...]

Avoid Getting “Ameritraded:” Best Execution For Financial Advisors with Small Clients

By |October 24th, 2017|Investment Advisor Education|

Have you been Ameritraded? Millions of years' worth of evolution have sharpened our brains to survive in the scam jungle of present day. Would you like a free car? How about a free [...]

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