Page 6 - Investment Advisor - November 2021

Departments NOVEMBER 2021

VOL. XLI NO. 11

1 | ThinkAdvisor.com 47 | Advertiser's Index “Today we are seeing
8 | Editor's Note 47 | Classifieds mounting evidence that
team members’ wellness
… is a key driver of
success in careers.”
—Angie Herbers

Columns

The Playing Field
39 | SEC Is Stretched Thin,
Especially With Advisory Growth
By Melanie Waddell
SEC chief Gensler also testifies crypto
needs regulation because right now it’s
the “Wild West.”
Beginnings

Washington Watch Conclusions The Fast Track
41 | Compassion: The New
10 | Auto-IRA Provision in House Tax
Bill Violates Securities Law: ASA Leadership Standard
By Angie Herbers
Industry Insights It might sound “new-agey” but having

12 | Not Dead Yet — Evolution of empathy helps make a happier and
the Wirehouse Advisor more productive workforce.

ETF Advisor

15 | Franklin Templeton Acquiring
O’Shaughnessy Asset Management Wealth & Risk

ESG Horizons 46 | How Ultra High Net
Worth Clients Count Tangible
18 | SEC Proposes New Disclosures Assets’ Value
on Asset Managers’ Proxy Votes
Retirement Planning Compliance Coach
RIA Lessons & Leaders
44 | 6 Planning Points to Help 48 | The SEC Is Closely Watching
20 | The 5 Trends Shaking Up the Clients Live Long and Prosper: How Advisors Protect Clients
Advisor World Morningstar From Identity Theft

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4 INVESTMENT ADVISOR NOVEMBER 2021 | ThinkAdvisor.com