The Breakaway Broker Resources Channel

Advisors and Clients Walking past Each Other on Sustainable Investment

Did you know that more than $12 trillion in assets under management are engaged in one or more strategies of sustainable investment in the United States? This comprises more than 25 percent of the professional managed assets across the country and is a 38 percent growth from 2016 figures.

Three Highlights from the MarketCounsel Summit

MarketCounsel’s Summit, held earlier this week in Miami, lived up to its reputation as the “all-star game” of financial advisor conferences, attracting top-level executives from throughout the investment industry. Here are three highlights from Tuesday’s sessions.

Identifying and Avoiding Conflicts of Interest

MarketCounsel is known as the “adviser’s advisor.” It is the leading business and regulatory compliance consulting firm to the country’s preeminent entrepreneurial investment advisors. It delivers comprehensive, regulatory compliance solutions. It works with startup investment advisors through its RIA Incubator program, and it offers outsourced compliance department capabilities through its RIA Institute.

All Asset All Access, December 2019

Research Affiliates discusses why they believe value investing is still alive and well and explains how changes to the display of expense ratios seek to enhance clarity for investors.

The Best Content to Drive Engagement

Where can I find the best content to drive engagement? I’m not looking to provide market commentary. It would be great if I could customize it with our brand but not have to rewrite any of the content.

Will Outsourcing Improve Profit Margins?

I’m not interested in letting most of my staff go. But I am also not up for adding to staff and therefore expenses.

Quiet Your Ego

If your ego is too loud, it stops you from reaching your goals and having a happier, more fulfilling life.

College Planning: Is the ROI in the College or the Major?

Over the course of 20+ years, families have been bamboozled into spending trillions on top-end colleges, while overlooking the fact that it's actually the academic major that is far more important.

A Primer on Retirement Plan Compliance

The purpose of this article is to better acquaint plan sponsors and service providers, like BDs and RIAs, dealing with 401(k) plans with the requirements they must understand and adhere to under ERISA.

The CFP Board Steps Up (Almost)

As we mark the golden anniversary of the creation the undertaking we know call “financial planning,” the CFP Board took a decisive step to enforce a real fiduciary standard by requiring disclosure and informed customer consent of material conflicts.

The Impact of FINRA’s Ruling on Advisors as Trustees

FINRA’s proposed rule 3241 seeks to mitigate conflicts of interest that may arise when an advisor assumes certain types of fiduciary obligations for a client. It places addition scrutiny in cases where an advisor serves as the trustee or beneficiary for a client.

How Financial Planning Can Become a True Profession

There are many prerequisites to becoming a true profession. Have we satisfied those requirements? And if so – do we desire to take the next step – seeking true status as a profession through legislation?

What Advisors Don’t Understand About Prospects

Few of us realize the anxiety-ridden mindset that drives prospects to seek a financial advisor. If they did, they would structure their initial meetings very differently.

My Advisors Have “Gone Rogue”

I have a team of five who do analysis, trading and help craft investment strategy for the firm. But a couple of our advisors insist on implementing their own investment philosophies.

Five Reasons to Add Auto-Webinars to Your Marketing Mix

The big myth with webinars is that your audience cares whether it is live.