Financial Planning: Recent Episodes
Financial Planning
Thoughtful, informed discussions about ideas, trends and developments in wealth management, moderated by Financial Planning editors.
Dr. Lou Gritzo, Chief Science Officer at FM, explains why there are more frequent and severe storms, flooding, wildfires and other weather-related events.
Dr. Lou Gritzo, Chief Science Officer at FM, explains why there are more frequent and severe storms, flooding, wildfires and other weather-related events.
The longtime fintech reporter and Financial Planning Podcast host says goodbye after moving on to a new opportunity.
The RIA custody landscape isn’t what it used to be. And Tony Stich, chief revenue officer at Entrustody, says that is great news for advisors.
The veteran wealth management duo wants to close the gap between what the advice industry is, and what it has the potential to become.
Christopher Knapp of Robertson Stephens joins the Financial Planning Podcast this week to help financial advisors cut through the noise and tackle ESG investing like a pro.
The firm founders join the FP Podcast all the way from Taiwan to discuss financial planning for women and LGBTQ+ households, international filmmaking and how the profession changed both of their lives.
From AI to video, advisor marketing is evolving. On this week's FP Podcast, the leader of the award winning marketing technology firm explains how financial planners can keep pace.
The fintech founder who started his company in the fallout of the 2008 financial crisis says he wants to help financial advisors spend more time doing work that matters.
As an advisor who relies on technology to power his practice, the 2023 Financial Planning Rising Star award winner explains why he decided to start backing wealthtech firms who create tools for planners.
The industry veteran breaks down the missteps firms make in the pursuit of growth, and how to maintain momentum in an unpredictable environment.
The 20-year industry veteran breaks down the three elements needed to deliver a truly excellent experience, and explains why the lowercase “T” in his firm’s name is so important.
The leader of the firm formerly known as Riskalyze talks about retaining legacy when taking on a new identity, and why 2023 was the right time to evolve.
The veteran fintech expert goes deep on everything from tech spending to the Schwab-TD Ameritrade Merger on this week's FP Pod.
The founder of Helios wants to redefine the OCIO function for financial advisors looking to offer greater customization and serve more sophisticated clients.
The veteran advisor who moved his niche firm from Florida to France is helping U.S. expats navigate their increasingly complex financial lives.
The co-author of the Robo Report explains why digital DIY options really shine when human advisors are part of the equation.
The featured INVEST 2023 speaker breaks down the science behind our saving struggles, and details the important role advisors play in bridging the gap with the next generation.
Veteran advisor Ken Van Leeuwen said by opening up and sharing his own story, he has been able to help his charitably inclined clients make an impact in a way that is true to them.
Inspired by two lessons his mother taught him when he was a child, this week’s FP Podcast guest has a passion for giving and helping others give that runs deep.
Financial Planner Thomas Pontius of Kayne Anderson Rudnick joins the FP Podcast to discuss what makes charitable giving attractive to clients, and the business benefits that double as food for the soul.
With trillions of dollars just sitting in accounts and earning nothing for clients, the industry veteran said cash presents a significant business opportunity for advisors.
The advisor, firm founder and fintech CEO puts acting with a true sense of purpose at the heart of both his life philosophy and his business philosophy. To make the industry better, he encourages fellow advisors to do the same.
The second generation financial advisor turned fintech founder wants to help advisors get more personal with their clients.
Hecker wants to craft wealthtech so seamless that clients forget they’re staring at a screen and feel like they’re truly connected to their advisor.
Defiance leader breaks down thematic investing as a long-term strategy, and why it matters to next-generation clients.
The tech nerd-turned-wealthtech exec accidentally stumbled into financial services via a job line in the late ‘90s. Here’s how that happy accident changed everything for him and scores of advisors.
Corso’s love of economics has kept his passion for financial services burning for three decades, and is matched only by his desire to help advisors help their clients.
When it comes to bringing in fresh talent, wealth management has a PR problem. Here's how the industry can solve it.
Bluerock Capital Markets CEO Jeff Schwaber says advisors looking to diversify with alts allocations in client portfolios may encounter hurdles.
The fintech founder wants to give advisors greater access to one of the simplest asset classes, and one of the most complicated.
When preparing to invest, most clients turn to their advisor and not the Catholic Church. But the veteran financial planner says there’s no reason you can’t do both.
The fintech veteran wants to help financial planners use their favorite digital tools without compromises or concessions. Here's how he plans to do it.
Between winning awards for her work in the DEI space and educating chief compliance officers, the ComplySci leader keeps a full schedule.
Between winning awards for her work in the DEI space and educating chief compliance officers, the ComplySci leader keeps a full schedule.
Managing the finances of an elderly loved one isn't easy, and the stakes are high. Here's how fintech and financial advisors can help.
Managing the finances of an elderly loved one isn't easy, and the stakes are high. Here's how fintech and financial advisors can help.
Wood said he saw firsthand how a lack of advisor engagement affected his mother after his father’s recent passing. Lumiant aims to fix that problem.
After more than 20 years with one of the biggest firms in the business, the leader of the fast-growing, New york-based RIA said going small was good for the soul.
While trying to solve a financial problem in his personal life, the MaxMyInterest CEO accidentally became a fintech founder
Zephyr’s head of wealth management says now is the perfect time to remind clients why they need you.
Just months removed from taking the reins of one of the fintech’s new business lines, D’Auria joins the FP podcast to talk about what's next for the industry.
How might the metaverse change wealth management? Who knows. But the veteran consultant and digital transformation expert has some big ideas.
The chief product officer for Skience talks about the importance of centralized data and why the human touch is the most important part of fintech.
The veteran wealthtech solutions provider talks trends, opportunity and conflict brewing in the DI space.
Green wants to shake up the world of fixed income investing by blending AI with human know-how.
The market doesn’t always play fair. Find out why Spuds Powell is always ready when the going gets tough.
How the financial planner blended personal passions and years of industry experience to find fulfillment.
Ric Edelman continues his crypto crusade with a new book and a warning for advisors unwilling to learn about the asset class.
Kent Manderville has 700 NHL games and a silver medal on his resume. Find out why that made him perfect for a career in wealth management.
Lindsey Swanson’s career as a CFP was on the traditional path until her desire to help the underserved took her from retirement plans to porn stars.
Robert Sandrew considers himself a people person, which aids his ability to bring new talent to his firm. But finding the right fit is an ongoing process that evolves as quickly as the industry itself.
Harry Sherdil took his practice independent last year with an ambitious goal stemming from his powerful personal story.
The veteran journalist explains how he has adjusted quickly to a new beat and his plans for the series in future months.
Louis Barajas and David Russell discussed their views on how wealth managers can work with and hire more Black and Hispanic advisors and clients.
With practices innovating in the way that they engage with clients and prospects, some may be missing out on business opportunities.
The former Hightower and Morgan Stanley executive shares how the major fee-only RIA views the record-setting M&A marketplace.
The Synergy RIA Compliance Solutions founder shares how advisory practices can handle the most important regulatory tasks when going independent.
The CEO of The Williams Group breaks down the many complicated factors involved with discussing generational wealth transfers.
The 15-year veteran discusses how she built a massive practice and what this year’s class of award-winning brokers says about the industry.
The YouTube series host, Rising Stars award winner and Ballentine Partners financial education specialist joins the podcast.
The firm built an education and wellness platform for Fidelity’s eMoney, and it’s rolling out a new app this year.
The organization overseeing the most prominent planning certification answers critics who say it’s falling short of its mission.
The 20-year industry veteran serves athletes and entertainer clients and he has an app and video series called “Mind. Body. Money.”
The 30-year veteran with tenures at AARP, two professional sports leagues and three large financial firms shares the major industry vendor’s plans.
The 15-year veteran advisor explains how she identified and built her practice’s base of clients.
Planner Jesse Abercrombie has built a niche of clients whose needs and interactions with the practice are shifting during a time of remote work and new technology.
The firm’s head of acquisition, strategic growth and retention discusses how the wirehouse aims to expand among historically excluded groups.
The startup founder shares the key lessons learned from remote work and what led to the creation of a new FPA Knowledge Circle group.
The WilmerHale partner discussed Regulation Best Interest, fraud detection and other industry compliance issues.
The former 13-year veteran of Wells Fargo’s IBD has ambitious plans for the firm’s expansion beyond its traditional market.
A pair of financial advisors whose practice merged with Mercer Advisors reflect on how it’s changed their day-to-day and share advice for other planners.
The securities lawyer and former NASD regional attorney explains why cases can be so hard to detect and what the industry can do to help.
The board member of LGBTQ Loyalty Holdings and the company CEO discussed a new ETF that uses a four-pronged ESG screen of large cap growth equities.
After a poll of more than 350 financial advisors, Tech Editor Ryan Neal discusses how practices are changing amid the pandemic.
The Robertson Stephens financial advisor discussed how marriages and relationships are changing during the coronavirus.
The expanding employee channel firm aims to support practice recruiting efforts and help usher in the next generation of advisors.
Andrew Tasnady shares insights from FP’s annual pay survey and how he expects the grids to shift in the future.
The organization seeks to expand on the success of its first year offering the internship-style training in its second summer.
Four advisors launched a program for RIAs this summer with industry-changing potential.
The Connecticut Democrat has introduced comprehensive legislation in each Congress since 2014. What are its prospects in this session?
The LPL and Private Advisor Group financial advisor serves on the Connecticut Autism Advisory Council, and he’s an expert in disability planning.
The founder of advisor consulting service Level Best answered FP’s queries about the best and worst practices in wealth management.
The principal for operations and strategy of an independent research firm explains the range of available products and ESG data.
After obtaining documents through FOIA requests, FP’s Jessica Mathews explains the larger industry implications of one firm’s internal investigation.
Denika Tokunaga of Maven Wealth Management answered FP’s queries about challenges, opportunities and growing during the coronavirus.
Framework Homeownership CEO Danielle Samalin answered FP’s queries about advising clients who are buying their first homes.
The chief of a major wealth manager and an influential industry advocacy group fielded FP’s queries about cryptocurrency, regulation and mutual funds.
Like in the industries its reporters cover, the lack of Black representation in business and financial media has created blind spots. Predominantly white newsrooms often miss stories about systemic racism or fail to reach an audience of more than one demographic. In the wake of this summer's Black Lives Matter protests, there are serious implications for financial services, the reporters covering them — and an emerging group of professionals creating their own media. What can journalists like us learn from these Black voices?
Asset and capital allocations often exacerbate systemic racism across the financial services in some surprising ways. Innovators in the fields of asset management, banking, impact investing and pensions suggest there are also many ways to disrupt the cycle. Shifting the flow of capital could help reduce or eliminate institutional barriers and racial discrimination.
Planners and experts dive into wirehouse pay, charging clients at a higher rate, emerging business models and other key issues.
The lack of Black representation in the financial services stems from two interconnected problems. Black professionals face significant hurdles once they break into the industry. And the presence of nearly 175,000 Black financial professionals displays that their widespread absence at the upper executive ranks isn’t a product of there being an insufficient talent pool.
Racism at the branch and in the workplace makes it harder for Black Americans to gain access to financial services. In the second episode of the Access Denied podcast, innovators and researchers from the fields of human resources, banking and wealth management explain how industries leave people out — and what needs to be done to change it.
In this featured episode from the Arizent special series, net worth disparities and the roles housing and mortgage discrimination play in Black homeownership show how it's impossible to close the gaps without eliminating racism.
Wealth management firms should define success by how well their operations perform under pressure, Kestra Financial COO Kris Chester says in an episode of Financial Planning’s podcast.
The pandemic is prompting financial advisors to use video messages, webinars and even board games to connect with clients and prospects, Hightower Chief Marketing Officer Abby Salameh says in an episode of Financial Planning’s Podcast.
Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.
An RIA platform launched by compliance professionals is growing by offering a smaller home for wirehouse and reverse breakaways, Advisory Services Network COO Cindy Halpern explains in an episode of Financial Planning’s Podcast.
Financial advisors choose technology the way cyclists pick out their rides, Riskalyze Managing Director for Enterprise Services Dana Rhodes explains in a Financial Planning podcast.
FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.
The amount of financial advisors changing firms doesn’t capture the breadth of the challenge broker-dealers face to retain them, recruiter Jodie Papike says in an episode of Financial Planning’s podcast.
Wealth management firms should track the lives they impact above the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.
In an episode of Financial Planning’s podcast, David Flores Wilson explains how his Gen-X and Millennial client base fueled his transition from investment banking.
The 8,000-advisor IBD network will launch “a more robust hybrid offering” this year, Head of Wealth Management Tim Stinson tells Financial Planning in a new podcast.
The firm's top recruiter explained its approach to helping advisors keep up with a rapidly changing profession.
Hint: take a look at how the firm interacts with yours, says Carson Group COO Teri Shepherd. Plus: Keeping diverse employees engaged and why the best growth strategies always include an idea of what services to cut.
The IBD’s head of practice management says more planners should explore becoming ensembles, and she also divulged the firm’s “secret sauce.”
Denika Tokunaga says breaking into the profession can be difficult if you don’t fit into the traditional image of a financial advisor. Here’s how she did it.
A closed-end fund can provide a steady income stream for clients, but advisors often make misleading assumptions about the regularity of monthly distributions. Here’s what to watch for.
Carolyn Clancy, head of the BD segment, says its 200 client firms need more tools and capabilities in a new era of wealth management.
In a podcast interview, Gurinder Ahluwalia outlines new bond-trading infrastructure for wealth management, along with his argument for why fears of PE capital are unfounded.
The firm’s director of technology and client engagement discusses chatbots, predictive analytic tools and what else is up next for advisors.
The firm's chief has led growth to an expected $1 billion in revenue this year from $7 million in 1998 when she joined. It's a matter of embracing the sector's evolution, she says.
Every time the firm has broken one of its rules for hiring, "it's come back to cost us in some way," says Executive Vice President Aaron Schaben. Plus, his views on compensation, succession planning and dogs at the office.
Which full-service broker-dealer treats its advisors the best? Which is the worst? And when should advisors shun wirehouses to strike out on their own? Career consultant to financial planners Rick Rummage lays out the options.
Getting clients to think realistically about their post-work years is tough, but this one question quickly gets to the heart of the matter, says Trilogy Financial CEO Jeff Motske.
Wirehouses will begin transforming their business models to mirror the bank channel in many way, says industry recruiter Mark Elzweig.
You’ll probably find administrators blocking the backdoor Roth IRA strategy more than anyone else, says Kimberly Foss, planner, author and Financial Planning contributor. That’s when you’ll have to adopt the role of educator, she says.
The SSA may tell your clients they can’t use this filing strategy. But author and consultant Brian Doherty says the agency is wrong.
Recruiter Michael King discusses which firms have the most brand value, and where young recruits would be wise to look to start a career. He offers his insights as we continue the dialogue from our Recruiters Roundtable.
Women have long been under-represented among the brokerage ranks, says Elizabeth McCourt. She offers her insights as we continue the dialogue from our Recruiters Roundtable.
Were 300% deals ever sustainable? What can advisors do today? And if you think it’s too late to break away, listen to the story of a 70-year old advisor who made the move. Mindy Diamond offers her insight as we continue the dialogue from our Recruiters Roundtable.
Boston Private’s new CIO Shannon Saccocia has learned a thing or two about how to prepare for media interviews. She shares her secrets, and also weighs in on how artificial intelligence is transforming financial services and how advisors can stay relevant amid the shift to passive investing.
Author and Commonwealth Financial Chairman Joseph Deitch discusses how to gain a better understanding of yourself and your clients, and how to resolve differences.
Consultant and author Brian Doherty explains why Social Security is in relatively good shape. In fact, his worst-case scenario won’t come to fruition until long after you’re dead.
Wirehouses have made some mistakes in their recruiting strategies in recent years. Meanwhile some aspects of corporate strategy are being done right in certain pockets of the industry. Danny Sarch discusses the business and what he expects in the future as we continue the dialogue from our Recruiters Roundtable.
How can the industry find organic growth again? And where will the next generation of advisors come from? Bill Willis tackles both challenges, and discusses how they will affect compensation, as we elaborate on the issues discussed at our Recruiters Roundtable.
About 40% of clients will be Gen X-ers and millennials in five years — and the industry is facing a succession problem. Kate Healy, managing director of GenNext at TD Ameritrade Institutional, discusses how RIAs can prepare for the future.
Changes to how the group educates advisors is just one of the many transformations needed to keep pace with a rapidly evolving industry, says CEO Sean Walters.