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Investment Advisor postings
| Identifying the Complexity Risks in an Organization 09/09/23 Investment Advisor |
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Complexity is found across an organization, from investment strategies and vehicles to due diligence, communication, operations, technology, and regulatory considerations. There are ripple effects among them. |
| The Outsourcing Debate: Principles and Rules 03/07/23 Investment Advisor |
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A proposed SEC rule regarding the outsourcing of capabilities by investment advisory firms shines a light on how they evaluate and select third-party providers. |
| Four for Friday ~ The Investment Advisory World 08/26/22 Investment Advisor |
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This posting offers readings on the future of advice, dual-registered firms, portfolio gaps, and a “cutting edge technology in applied behavioral finance.” |
| Switching Hats from Entrepreneur to Investor 06/30/22 Investment Advisor |
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Some of the personal qualities and decision making skills that lead business owners to success can work against them as they deploy their assets into other investments, as outlined in a Cambridge Associates article. |
| Risks and Opportunities in the Adoption of Alternative Investments 05/02/22 Investment Advisor |
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Advisory firms face pressures from clients and from throughout the investment ecosystem to offer new strategies, some of which are being increasingly viewed (and/or promoted) as essential. |
| We Need Some New Terminology (Part 2) 02/12/22 Investment Advisor |
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Quick, define “passive investing.” Now take a look at the messy way the term is used in today’s investment industry. |
| We Need Some New Terminology (Part 1) 12/14/21 Investment Advisor |
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The categories we use to describe the roles of investment organizations need to evolve, along with the regulatory framework around them, in order to keep up with the ongoing evolution of the industry. |
| Getting a Handle on Distribution Yield 11/16/21 Investment Advisor |
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An ETF serves as a good example to explore expected returns, benchmarks, reporting requirements, and the special attraction of “yield.” |
| Mass Customization and Tactical Asset Allocation 10/25/21 Investment Advisor |
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A recent paper offers an “industrial tactical asset allocation process,” prompting a quick review of the methodology and some observations about balancing theory, practice, customization, and industrialization. |