Page 6 - Investment Advisor October 2022

Departments VOL. XLII NO. 7
OCTOBER 2022

1 | ThinkAdvisor.com 47 | Advertiser's Index “The typical wealth
8 | Editor's Note 47 | Classifieds management client just
wants their needs met. ”
—Angie Herbers

Columns

The Playing Field
33 | SEC 12b-1 Fee, Custody Rules
Likely Out by Year-End
By Melanie Waddell
Both rules “are currently in the
works,” says compliance consultant
Beginnings Amy Lynch.

Washington Watch Annuities Update The Fast Track
10 | Should Social Security Be Used 16 | Why Advisors Shouldn't
to Fund Parental Leave? Dismiss Index-Linked Annuities 35 | 3 Steps to Transitioning
Clients to Other Advisors
Retirement Planning By Angie Herbers
12 | Should This Client Claim Social With advisors in short supply,
firms must serve more clients with
Security Before 70? the human resources they have.
Here’s how.

Alternative Investments
43 | How to Engage With Clients
Now on Private Equity
Broker-Dealer Beat

44 | UBS-Wealthfront Deal Has
Been Canceled
Conclusions Portfolio Perspectives The New School

Financial Planning 39 | SEC Loophole Lets Funds Mislead 46 | A New Way to Train Next-Gen
Investors on Performance: Study
Financial Planners
in Focus
37 | 6 Tips for Advisors When ETF Advisor Compliance Coach
Talking Fees With Clients 41 | Income-Generating ETFs 48 | More States Adopt Advisor
Popular in Tough Market CE Requirements

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4 INVESTMENT ADVISOR OCTOBER 2022 | ThinkAdvisor.com