Our Most-Read Blog Posts of 2016

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As we close out the year, we’re sharing our most-read blog posts from the past 12 months. Here’s the list from 2016, arranged in chronological order. We’re looking forward to seeing you back here on the blog next week.

2016 Should Be a Very Good Year (If you are an RIA, that is) – February 4, 2016

Despite the short-term hiccup due to returning volatility in the markets, RIAs on the whole are upbeat and optimistic for a prosperous 2016. TD Ameritrade Institutional 2016 RIA Sentiment Survey provides an intriguing glimpse into the mindset of the fastest growing segment in the financial services industry. These independent firms that collectively control over a couple of trillion dollars in client assets are putting on their forecasting glasses and expect, on average, a positive 17% increase in their assets. Continue reading…


Client Spotlight: Easily Making the Switch to Black Diamond – March 15, 2016

With the enhanced focus on advisor technology these days, there are now more and more options for advisors to fuel business evolution and growth. While this is definitely a great development for the advisor industry, it can also bring complexity. As a result, this development also points out the importance of working with a leading company that offers more than just one solution. Such is the case with Atlas Brown, a thriving independent RIA based in Louisville, Kentucky, which serves high net worth individuals and families. From its inception, Atlas Brown has been an Advent (now SS&C Advent) client, opening its doors in 2005 with Axys as its core accounting and reporting system. Continue reading…


For Firms New to GIPS: Best Practices in Composite Management – June 16, 2016

Past performance, the saying goes, does not predict future results. But that doesn’t stop prospective clients from asking about your performance. In fact, the ability to tout your track record is an essential tool in winning clients and growing your business. But how do you reassure investors that they can trust your numbers? How do you reassure regulators that you are representing your performance honestly and accurately? Continue reading…


SS&C Advent: Delivering Today, Investing for Tomorrow – September 14, 2016

What will the asset and wealth management industries look like in five, 10, or 20 years? How will firms stay competitive and current as the industry changes and technology advances? At Tuesday’s opening session of SS&C Deliver in San Diego, SS&C Advent Co-General Managers Dave Welling and Robert Roley posed these questions to underscore one of their key messages: SS&C Advent must be sure that it is delivering what clients need today while anticipating what they will need in the future. Firms cannot be so focused on today that they risk being “lapped” by advancing technology and changing market dynamics. Continue reading…


Recap: Seen and Heard at the 2016 FPA BE Conference – September 21, 2016

Held over 3 days last week at the Baltimore Convention Center, the 2016 FPA “BE” conference gathered over 2,000 advisors, industry experts, consultants, and top technology providers for educational sessions, networking opportunities, and the chance to see the latest in all aspects of financial planning. One example of that financial planning technology focus was the introduction by the FPA of a new focus on risk alignment. Partnering with True Profile, a risk profiling and goal analysis consulting platform, True Profile and the FPA are creating a mathematically based methodology to help advisors and their clients better understand risk. Using game theory and interactive mobile technology applications, True Profile and the FPA are developing a new way to get at the thorny issues of how much risk clients can truly handle and the best ways to prioritize goals. Continue reading…


A Succession Planning How To – One Advisor’s Journey – September 27, 2016

Despite high profile media attention given to the lack of advisor succession planning, there still remains a large gap in the preparedness of advisors, which is leading to challenges for the long-term health and sustainability of the industry. According to various industry studies, the average age of advisors is getting close to 60, and now there are more advisors over 80 years old than under 30. Adding to the urgency for the industry to develop a transition plan is the fact that over a quarter of advisors are looking to retire in the next 5 years, yet less than a third have a succession plan in place. Continue reading…


SS&C Deliver Regulatory Update: The Effect of the Election on Financial Services Regulation – October 7, 2016

To close out day one of this year’s SS&C Deliver conference, The Investment Adviser Association’s Vice President for Government Relations, Neil Simon, gave attendees a glimpse inside the beltway in this most unpredictable of election years. Mr. Simon (who made it clear that he was not the famous playwright of the same name) noted that while there is much talk about regulation in Washington, not much is likely to get done before the new President, Senate, and Congress take office. Two of five seats on the SEC’s Commission remain unfilled, and with the expected departure of current Chair Mary Jo White, there may well be three new commissioners under the new President. Continue reading…


SS&C Acquires Leading Advisor CRM Solution Salentica – October 24, 2016

Today, I’m thrilled to share with the advisory community that SS&C has acquired Salentica, a leading provider of CRM solutions to advisory firms. Many of you are already familiar with Salentica based on its strong reputation for providing customized CRM solutions to large, complex advisory firms. Today it becomes part of the SS&C family. We are excited to deepen the already strong relationship we have with the Salentica team and to get to work on executing our plans to expand integrations and support for our shared clients including those running Black Diamond, APX, Axys, and SS&C’s Global Wealth Platform. Continue reading…


Schwab IMPACT Hits Its Stride – November 3, 2016

For the first time, an individual RIA kicked off the annual Schwab IMPACT conference as an example of the growth, health, and evolution of the RIA industry. Dale Yahnke, of Dowling and Yahnke, was one of the first independent RIAs established in the industry and is a great example of the success of the independent RIA model over the last 25 years. The firm grew from a start up in the early ‘90’s to become a wealth management enterprise today. Continue reading…


Meeting GIPS Marketing Requirements to Help Win Business – November 15, 2016

Firms often view compliance with the Global Investment Performance Standards, or GIPS, as a major challenge and a tedious chore, but in the end it yields a big benefit: it allows you to market your track record with complete confidence in the integrity of your performance calculations. Many firms, however, may not be aware that the standards include marketing requirements, and even GIPS-compliant firms often struggle to navigate those requirements. Continue reading…


See the list from 2015 here.

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Posted in Advent News, Asset Managers, Regulation, Compliance, and Security, Traditional and Alternative Asset Management, Trends, Wealth Management and Financial Planning

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