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You Need More Client Friendships
Sep 08, 2022
If you’re looking to make friends in your business, get tactical.
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Mindy Diamond on Independence: One-on-One With Focus Financial's Rudy Adolf
Sep 08, 2022
Industry legend Rudy Adolf describes how the idea of Focus Financial Partners came to be, filling a gap in how independent financial advisors accessed capital, resources and monetized their life’s work, plus the firm’s journey as a public company...
FINRA Arbitrators Demand Oppenheimer & Co. Pay $35M+ Award
FINRA Arbitrators Demand Oppenheimer & Co. Pay $35M+ Award
Sep 07, 2022
The proceedings centered on investors harmed by Horizon Private Equity III, an alleged Ponzi scheme concocted by a former Oppenheimer advisor.
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How To Connect Deeply in Conversations
Sep 07, 2022
Active listening is a powerful tool advisors can use to gain insight into how to communicate with clients and effectively coach them toward intentional action.
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IRS Mistakenly Published Some Taxpayers’ Confidential Data
Sep 06, 2022
The 990-T form involved in the incident is used by both tax-exempt groups and individuals with some retirement accounts invested in certain assets, including master limited partnerships and real-estate investment trusts.
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CFP Board Permanently Bars Advisor Accused of Child Porn, Announces Dozens of Other Sanctions
Sep 06, 2022
The more than 30 penalties include six public censures, one temporary bar, seven suspensions, 12 permanent bars and seven revocations.
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Public, Private and the Whole Portfolio View
Sep 06, 2022
After years of historically low yields in public markets, private assets have significantly grown in importance for many investors and their portfolios. But showing clients the role of these assets in a whole portfolio context takes significant...
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Sponsored Content
The Power of Stress Testing
Sep 06, 2022
Stress testing is a dynamic and powerful tool for measuring and explaining the risks associated with potential market events. When advisors address risk head-on with real world scenarios, it highlights the value of the relationship, encourages...
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Sponsored Content
For Best Results, Face Forward While Driving
Sep 06, 2022
Past performance is no guarantee of future results. We’re all familiar with this phrase when helping clients understand investment returns. Ironically, this thinking doesn’t always translate into the portfolio construction process. Many advisors...
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