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

By |2020-07-17T10:23:29-04:00July 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 |2019-09-17T15:04:15-04:00August 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 |2019-08-21T09:08:57-04:00August 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 |2018-11-07T10:58:11-05:00November 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 |2018-09-26T09:47:03-04:00September 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 |2018-07-31T12:16:41-04:00August 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 |2017-12-19T11:25:28-05:00December 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 |2017-12-19T09:36:35-05:00November 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 |2018-04-11T14:42:11-04:00October 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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