Archive

Author Archive for Sam Ushio


In an uncertain DOL environment, a potential implementation path for advisors

DOL preparedness, now or later

As the DOL fiduciary rule’s April 2017 implementation deadline looms (recent attempts to delay it notwithstanding), make sure you’re prioritizing your time and energy appropriately.

January 17, 2017 Categories: The Science of Advising

AmygDOLa – How are you wired to react to the looming DOL rule threat?

The DOL rule’s looming implementation deadlines are triggering survival instincts among many advisors. That instinctive reaction will dictate who will succeed in shifting with the advisory curve.

Oct 18, 2016 Categories: The Science of Advising
Four pillars

Sustainability Pillar #4: Optimized client experience and portfolios

As clients, advisors, and regulations evolve, a dedicated eye toward delivering an optimized client experience and portfolio will benefit advisors who execute at the highest levels.

May 4, 2016 Categories: The Art of Advising
Four pillars

Sustainability Pillar #3: Documentation of key processes

This is the third in our series of posts focusing on the four pillars of a sustainable advisory business in response to the DOL’s new “fiduciary” rule and other factors shifting the competitive landscape for advisors. In this post, we focus on the importance of advisors documenting their key processes.

Apr 27, 2016 Categories: The Science of Advising
Four pillars

Sustainability Pillar #2: Product inventory control

The DOL’s new “fiduciary” rule is just the latest factor shifting the competitive landscape for advisors. Advisors who embrace the necessary changes as a result of the final DOL proposal—by streamlining their set of products – are likely to achieve the greatest degree of success in a post-DOL world.

Apr 20, 2016 Categories: The Science of Advising
Financial Professional Outlook

Is market volatility impacting advisors’ big picture view?

The latest Financial Professional Outlook (FPO) survey suggests volatility may be impacting advisors’ ability to address aging client base, regulatory hurdles, succession planning, and other potential threats to the sustainability of their practice.

Apr 19, 2016 Categories: The Art of Advising
Four pillars

Sustainability Pillar #1: Manageable number of client households

The DOL’s new “fiduciary” rule is just the latest factor shifting the competitive landscape for advisors. Those who adapt – by managing four pillars of a sustainable advisory business – are likely to achieve the greatest degree of success in a post-DOL world. The first pillar is having a manageable number of households.

Apr 13, 2016 Categories: The Science of Advising
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