The Client

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  African-Americans Remain a Viable, Untapped Advice Market

  By Savita Iyer-Ahrestani, AdvisorOne  |  May 24, 2013

  Despite an increase in wealth, a proven track record of financial progress and greater overall financial confidence, African-Americans are being ignored by advisors.

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  How to Talk Risk Without Scaring Your Clients

  By John Sullivan, AdvisorOne  |  May 23, 2013

  “We’re persuaders, it’s what we do," Scott West of Invesco PowerShares said, "and persuasion is nothing more than the transfer of confidence.” He gave three steps to prevent clients from fleeing.

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  What It Means to Be an Advisor

  By John Sullivan, AdvisorOne  |  May 21, 2013

  An outspoken group of top advisors convened at the Curian Conference in Chicago to sound off on everything from the political climate to women as a niche market to retirement income and behavior, and more.

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  Advisors’ Tech Strategies Help Boomers but Ignore Gen X and Y

  By Joyce Hanson, AdvisorOne  |  May 21, 2013

  RIAs are making the mistake of inventing non-tech-related strategies for boomer investors at the expense of developing innovations for Gen X and Gen Y clients, says Fidelity.

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  FINRA Fines LPL $9M for Failing to Monitor Emails

  By Melanie Waddell, AdvisorOne  |  May 21, 2013

  FINRA announced Tuesday that it fined LPL for 35 separate, “significant email system failures,” and for making material misstatements to FINRA during its investigation.

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  The Price of Everything: What’s the Value of Sound Advice?

  By Bob Clark, AdvisorOne  |  May 20, 2013

  The SEC Regulatory Accountability Act is yet another attempt by the securities industry to shift attention away from the consumer protections of requiring brokers to put the interests of their clients ahead of their own, by focusing solely on the “costs” of doing so.

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  Schwab Backs Off on Class-Action Ban—for Now

  By Melanie Waddell, AdvisorOne  |  May 17, 2013

  Charles Schwab on Thursday said it would lift a ban on client class-action suits until all legal and regulatory challenges were resolved.

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  Is Your Client a Skittish Investor? Russell Offers Calming Tool

  By Joyce Hanson, AdvisorOne  |  May 16, 2013

  Advisors can struggle to help clients set realistic expectations for portfolio performance and avoid obsessing over day-to-day market movements.

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  Stop Denying Investor Rights: End Forced Abitration Now

  By Heath Abshure, NASAA President  |  May 16, 2013

  For too long, investors have been forced to "take it or leave it" by mandatory pre-dispute arbitration clauses. The time is now for this denial of investor rights to end, which is why NASAA supports the Arbitration Fairness Act.

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  Importance of Advisor’s ‘Bedside Manner’: Meir Statman—Video

  By John Sullivan, AdvisorOne  |  May 15, 2013

  At the IMCA conference in Seattle in early May, Meir Statman, the Santa Clara University professor of finance and behavioral economics, talks with Investment Advisor editor John Sullivan about advisors and client psychology.