Advisor Resources

March 3, 2025The rules around ESG investing might soon change. On September 20, the SEC updated its rules that govern environmental, social and governance (“ESG”) investment funds. The new rule updates how these funds are named, requiring a fund that advertises itself as ESG to hold at least 80% of its investments in related assets. From a… read more…

March 3, 2025The Securities and Exchange Commission (SEC) oversees the enforcement of financial securities laws. On its website, the SEC has organized some of its compliance guides for small businesses and brokerages. It lists nearly 80 individual topics, each of which takes you to a guide that, itself, is just a summary of much more in-depth issues. This… read more…

March 3, 2025Whether you’re considering a career as a financial advisor or looking to work with one, it’s helpful to understand the landscape of this profession. Financial advisors provide expertise to help individuals and organizations make smart money decisions. Estimates vary, but approximately 300,000 financial advisors work in a range of industries and in every state and… read more…

July 15, 2025A financial plan template helps advisors organize their clients’ financial goals, assets and strategies on a single page, making complex planning more accessible. By summarizing key details such as income, net worth, asset allocation and other elements of a financial plan, a one-page format provides a structured yet flexible approach to managing finances. It can… read more…

March 3, 2025Staying up to date on the latest industry trends and news is important as an advisor and it’s helpful to have a go-to list of sources for information. That might include reading financial advisor magazines, listening to podcasts, or keeping up with top bloggers in the advisory space. If you’re looking for some new financial… read more…

October 17, 2025Having the right technology can be critical to a registered investment advisor’s success. However, knowing what to include in an RIA tech stack may take some thought and planning to ensure you have the right tools to meet your needs. This guide offers some helpful suggestions on what to include, along with tips for building… read more…

March 3, 2025Navigating the complex maze of financial regulations may seem daunting as a financial advisor, yet it remains a crucial responsibility of your profession. Take, for instance, Anti-Money Laundering (AML) Compliance – a set of rules that, when misunderstood or overlooked, can lead to detrimental consequences. These are good regulations that help protect client money and… read more…

March 3, 2025A well-crafted value proposition can make a huge difference in helping understand where your financial advisory firm is headed. It sets your financial advisory firm apart from others and helps you identify your unique selling points. Moreover, it succinctly communicates the unique benefits clients can expect from your services, effectively becoming your firm’s secret weapon… read more…

August 5, 2025Financial advisory firms deal with complex products and services that require clear and compelling marketing. A marketing agency can provide financial advisory firms with the expertise and resources they need to enhance their market presence and attract more clients. Agencies can help increase lead volume and overall revenue. Before working with a marketing agency, it’s… read more…

March 3, 2025Reverse churning is the fraudulent practice of charging a flat fee for idle accounts. It represents a breach in fiduciary duty to the client, who would be better served with a per-transaction fee structure. It can cost your firm its money, its clients and potentially even its ability to conduct business. It’s not enough to say… read more…

March 3, 2025The SEC has decided that cybersecurity and related issues are now a material risk that public companies must disclose. As a result, in July of this year, the agency released a new rule on the issue. Registered companies must disclose material cybersecurity incidents as they happen. Registered companies must also make cybersecurity risk management part of… read more…

March 3, 2025Technology can make running your advisory business easier but it’s important to know which ones are worth the investment. The best financial advisor tech tools are ones that can help you save both time and money while making it easier to scale and sustain your business. Some key categories of tech tools can prove most… read more…

March 3, 2025Starting a hedge fund requires more than just an impressive track record of consistently beating the market. There are registration and regulatory requirements that you’re expected to meet to ensure your fund is operating legally. You’ll also need sufficient capital and a strong support team to help pull it all together. If you’re interested in… read more…

January 9, 2026The financial services world moves fast, and staying informed can mean the difference between keeping up and falling behind. For financial advisors, access to reliable, insightful publications is not just helpful, it is essential. The right magazine can provide market analysis, regulatory updates, practice management tips and professional development opportunities all in one place. Whether… read more…

March 3, 2025Volatility drag quantifies the negative impact that volatility has on the compounded returns of an investment over time. Sophisticated investors and financial professionals may be familiar with this complex concept, but relatively few ordinary investors encounter it. Volatility drag have a significant effect on the performance of any portfolio, especially over extended periods of time.… read more…

March 3, 2025Entering the field of financial advising can be lucrative, but earnings vary widely depending on factors like education, certification, firm, location and clientele. Experience is one of the most important drivers of financial advisor compensation, with veteran advisors typically able to bring home several times the earnings of newcomers to the field. Understanding the salary… read more…

March 3, 2025The Securities and Exchange Commission allows certain companies to sell stock to a select number of investors without having to go through the IPO process. This is done under a Regulation D exemption, which lets companies that meet specific requirements raise capital without having to submit to an extensive and costly registration process that is… read more…

March 3, 2025Investing involves many complexities, and one frequently overlooked cost is the fee imposed by the Securities and Exchange Commission (SEC). This SEC fee is a transaction charge that financial advisors must pay when selling exchange-listed and over-the-counter securities to support the SEC’s operations. In May 2024, the fee more than tripled from $8 per million… read more…

November 21, 2025Artificial intelligence (AI) is making a growing impact across many industries, including financial services. While most clients still value the personal connection of working with a human advisor, the role of AI in wealth management is becoming increasingly hard to ignore. A 2024 Broadridge report found that 35% of advisors plan to use AI tools… read more…

March 3, 2025Once you’ve decided to hire an advisor for your firm, it’s crucial to find a candidate who aligns best with the needs and aspirations of your clients. There are a number of key questions to ask financial advisor candidates to gain insight into whether they would be a good fit for your firm. Answers to… read more…

March 3, 2025The term ‘financial planner’ can apply to a broad range of professionals, including accountants, insurance agents and investment advisors. If you work in any of those capacities or a related field, it’s important to understand the regulatory guidelines that apply. Financial planning regulation encompasses a broad range of requirements and rules. The type of regulation… read more…

October 15, 2025Certified Financial Planner™ (CFP®) are subject to continuing education requirements in order to maintain their certification. Specifically, they’re required to complete 30 hours of continuing education each reporting period, which includes two hours of study in the area of ethics. CFP® professionals can complete the requirements by taking paid or free courses online. If you’re… read more…

March 3, 2025If you’re an investment advisor, whether you’re a seasoned pro or just starting out, deciphering rules and regulations like the Securities and Exchange Commission (SEC) Marketing Rule is key to your success and compliance. This rule specifically highlights what advisors can and cannot do when marketing their services to potential clients. Failing to adhere to… read more…

March 3, 2025The Securities and Exchange Commission (SEC) regulates the activity of registered investment advisors. Advisors must adhere to numerous compliance rules outlined in the Investment Advisers Act. Rule 206(4)-2, known as the custody rule, outlines RIA duties regarding holding client assets. Add new clients and AUM at your desired pace with SmartAsset’s Advisor Marketing Platform. Sign… read more…

October 22, 2025To legally serve clients, registered investment advisors (RIAs) must register with either the Securities and Exchange Commission (SEC) or state securities regulatory agencies, depending on the size of their firm. Regardless of where they register, RIAs must adhere to strict compliance rules designed to ensure ethical and legal operations. These regulations help protect investors, maintain… read more…