Page 6 - Investment Advisor April/May 2023

Departments APRIL/MAY 2023

VOL. XLIII NO. 2

1 | ThinkAdvisor.com 39 | Advertiser's Index “Options that have
6 | Editor's Note 39 | Classifieds been on the table for
increasing SEC exam
frequency all require
congressional action.”
—Melanie Waddell

Columns

The Playing Field

31 | RIA Growth Continues to
Outpace SEC Exam Resources
By Melanie Waddell
As with the Dodd-Frank Act,
Beginnings Retirement/ Congress will have to take action
to help increase exam frequency of
Annuities Planning
Washington Watch investment advisors, says Michael
Canning of the LXR Group.
12 | Solving the Retirement-Income
8 | SEC Votes to Expand Advisor Puzzle: Wade Pfau Speaks Out on
Custody Rule a New Approach The Fast Track
Industry Insights Portfolio Perspectives 33 | 6 Steps for Building the Best

10 | Orion Event Showcases 16 | Capital Group's 10 Investment Comp Plan for Your Firm
By Angie Herbers
Integration, Inspiration Predictions for 2023
Like clients’ financial plans, advisors’
compensation structures aren’t only
about money.
Conclusions

Broker-Dealer Beat RIA Lessons & Leaders Compliance Coach
35 | Latest LPL Service for 37 | 2 Challenges Advisors Must 40 | Are You Ready for the DOL’s
Advisors: Partial Book Sales Address Now: Bob Oros Next Fiduciary Deadline?

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4 INVESTMENT ADVISOR APRIL/MAY 2023 | ThinkAdvisor.com