Page 6 - Investment Advisor December 2022/January 2023

Departments DECEMBER 2022/JANUARY 2023

VOL. XLII NO. 9

1 | ThinkAdvisor.com 47 | Advertiser's Index “An advisory firm’s
8 | Editor's Note 47 | Classifieds data is one of its most

valuable organic
growth tools.”

—Angie Herbers

Columns

The Playing Field
37 | Still Not Ready for the SEC’s
New Marketing Rule? Here’s
What to Do
By Melanie Waddell
Compliance experts air their views on
Beginnings what advisors should be doing now to
be ready if the SEC comes knocking.
Washington Watch Portfolio Perspectives

10 | More Reg BI Cases in the 14 | Why It’s the Best Time The Fast Track
Pipeline, Warns FINRA Chief for Bonds in Over a Decade: 39 | 4 Ways to Boost Your Firm’s
Gundlach’s Deputy CIO
ETF Advisor Client Referrals
Retirement & By Angie Herbers
12 | Tax Loss Harvesting Is Easier Annuity Updates Adding services like tax planning can
With ETFs, But Watch the Wash increase client satisfaction and turn
Sale Rule 18 | The Fed’s Silver Lining clients into vocal advocates for your firm.

Conclusions

RIA Lessons & Leaders Wealth & Risk
41 | Why the RIA Model Will 46 | Time to Boost Protection
‘Keep on Winning’ for In-House Lawyers?
Broker-Dealer Beat Compliance Coach

43 | LPL to Buy a $40B Branch 48 | New SEC Marketing Rule:
Office With 800 Advisors How to Use Testimonials

The New School

45 | 3 Types of Advisors You
Need on Your Team

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4 INVESTMENT ADVISOR DECEMBER 2022/JANUARY 2023 | ThinkAdvisor.com