ALM Podcast
Human Capital with Melanie WaddellEpisodes
Episodes of Human Capital
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For today’s conversation, we’re taking a different approach in order to highlight ThinkAdvisor’s new industry recognition program: The LUMINARIES, which is recognizing top advisors, broker-dealers, RIAs, asset managers and other firms, as well
In this episode of Human Capital we talk with David Bellaire, general counsel for the Financial Services Institute in Washington, about FSI’s lawsuit against the Labor Department for withdrawing its independent contractor rule. FSI filed a law
In this episode of Human Capital, Ed Slott of Ed Slott & Co. relays important tax advice related to potential changes to the stepped-up basis and estate tax, and also warns that the potential boosting of the required minimum distribution age t
In this episode of Human Capital we talk with Susan Schroeder, former chief of the Financial Industry Regulatory Authority’s enforcement division, who’s now a partner at WilmerHale and vice chair of its Securities & Financial Services Departmen
In this episode of Human Capital, we catch up with Skip Schweiss, the 2021 president of the Financial Planning Association. Schweiss, former president of TD Ameritrade Trust Company and managing director of advisor advocacy for TD Ameritrade In
In this episode of Human Capital, we talk with IRA and tax specialist Ed Slott of Ed Slott & Co. about his upcoming book, “The New Retirement Savings Time Bomb,” to be released in March. What’s it about? “The big message is to control the taxes
In this episode of Human Capital, we talk with Karen Barr, president and CEO of the Investment Adviser Association in Washington, about the growing ranks of RIAs as well as important rule updates that are due to be released by the Securities an
In this episode of Human Capital, we talk with Charles Millard, the former director of the Pension Benefit Guaranty Corp., who’s now a senior advisor to asset management firm Amundi Pioneer. He discusses why House Ways and Means Committee Chair
In this episode of Human Capital, we talk with popular blogger and financial planner Michael Kitces about XY Planning Network’s recent decision to not pursue a Supreme Court challenge to the appeals court ruling that upheld the Securities and E
In this episode of Human Capital, we talk with Ron Rhoades, director of the Personal Financial Planning Program and assistant professor of finance in the Gordon Ford College of Business at Western Kentucky University, who was recently awarded t
In this episode, we check in with IRA and tax specialist Ed Slott of Ed Slott & Co., on what the recent debt and deficit numbers reported by the Congressional Budget Office mean for retirement plan participants. The CBO numbers, according to Sl
In this episode of Human Capital, we talk with Nick Morgan, a partner at the global defense firm Paul Hastings in Los Angeles, about the Securities and Exchange Commission’s recent changes to the accredited investor definition. Morgan, former S
In this episode of Human Capital, we talk with John Anderson, managing director and head of practice management solutions for Independent Advisor Solutions at SEI Investments, about the potential changes coming to the Securities and Exchange Co
In this episode of Human Capital, we talk with Brad Campbell, former assistant secretary of the Labor Department’s Employee Benefits Security Administration, who’s now a partner at FaegreDrinker in Washington. Campbell weighs in on Labor’s cont
In this episode of Human Capital, we talk with Iain Duke-Richardet, compliance strategy principal at Hearsay Systems. Duke-Richardet, an original member of the Financial Industry Regulatory Authority’s Social Media Task Force, joined Hearsay Sy
In this episode of Human Capital, we talk with Drew Bowden, general counsel for Jackson National Life Insurance Co., who recently became board chair for the Insured Retirement Institute. Bowden, who also served as director of the Securities an
In episode No. 18 of ThinkAdvisor's Human Capital podcast, we talk with the former assistant secretary of the Labor Department’s EBSA during the Obama administration. Listen in as Borzi also talks about the current political turmoil surroundin
In episode No. 17 of Human Capital, we talk with cybersecurity expert John Reed Stark, president of John Reed Consulting, who founded the SEC’s Office of Internet Enforcement. Stark talks about why the cybersecurity challenges are exacerbated
In episode No. 16 of Human Capital, we talk with Neil Simon, VP of government relations for the Investment Adviser Association, about IAA’s efforts to restore, and expand, the deductibility of fees on professional investment and financial plann
In episode No. 15 of Human Capital, we talk with James Lundy, a former attorney at the Securities and Exchange Commission who’s now a partner at Faegre Drinker. Listen is as Lundy explains why he believes it’s likely the SEC’s exam division wil
In this episode of Human Capital, we talk with Andy Friedman, founder and principal of The Washington Update. Listen in as Friedman talks about the timing of the next stimulus bill, which is being dubbed CARES 2, and details which tax provisio
In episode No. 13 of Human Capital, we talk with Christopher Gerold, president of NASAA and chief of the New Jersey Bureau of Securities, about the relief put in place by state securities regulators because of the coronavirus pandemic.
In episode No. 12 of ThinkAdvisor’s Human Capital podcast, we talk with popular ERISA attorney Fred Reish of Faegre Drinker Biddle & Reath about the legal requirements and best practices that plan fiduciaries and advisors should be adhering to
In this episode of Human Capital, we talk with Amy Lynch, president and founder of FrontLine Compliance, on the regulatory relief put in place by the SEC as well as FINRA the coronavirus outbreak upends the markets.
In this episode of Human Capital, we talk with Allison Wielobob, general counsel at the American Retirement Association, who’s also a former Labor Department attorney and legislation counsel for the Joint Committee on Taxation. Listen in as Wie
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