Mondays are all about financial adviser-related links here at Abnormal Returns. You can check out last week’s links including a look at why hiring is not a just-in-time exercise.
Quote of the Day
"Clients form relationships with people, not systems. Clients don’t care if you oversee $50bn in assets; they care that you look after their families and listen when they are troubled or nervous about market volatility."
(Liz and Peter Nesvold)
Podcasts
- Michael Kitces and Carl Richards discuss navigating the issue of underpaying clients. (kitces.com)
- John Mihaljevic talks family office dynamics with Prof. Lauren H. Cohen of HBS. (latticework.com)
Q&A
- A Q&A with David Lau, founder and CEO at DPL Financial Partners. (thinkadvisor.com)
- A Q&A with Ritik Malhotra, co-founder and CEO, of Savvy Wealth. (citywire.com)
Compliance
- A comprehensive look at the books and record requirements for RIAs. (kitces.com)
- Arbitration procedures should be included in the ADV. (investmentnews.com)
Succession
- How Snowden Lane helps advisers transition into retirement. (citywire.com)
- Only 4 in 10 RIAs have a succession plan. (citywire.com)
Advisortech
- Pontera and Future Capital are at-risk of custodians preventing password sharing. (riabiz.com)
- FINNY is using AI to help match prospects with advisers. (citywire.com)
Retirement
- Retirement from farming is just different. (crr.bc.edu)
- Early retirement often leads to taking Social Security early. (thinkadvisor.com)
Advisers
- Why model portfolio performance is often disappointing. (roberthuebscher.substack.com)
- The CFP Board is thinking about boosting continuing education requirements. (financial-planning.com)
- How to reduce bias in your hiring process. (kitces.com)
- ETF wholesalers are in short supply. (riaintel.com)
- Annuity sales are booming. (wsj.com)
- Are you a financial adviser looking for some out-of-the-box thinking? Then check out our weekly e-mail newsletter. (newsletter.abnormalreturns.com)
