- How to Register With the SEC as an Investment Advisor
The Securities and Exchange Commission (SEC) is a federal agency responsible for overseeing key aspects of the investment industry. Its regulatory scope includes securities brokers and dealers, investment advisors, mutual funds and securities exchanges, among others. As stated by USA.gov, the SEC’s mission is to “promote fair dealing, the disclosure of important market information, and… read more…
- Guide to Financial Advisor Conferences for 2025
Attending wealth management and investment conferences can be a great opportunity to network and get up to speed on the latest industry trends and news. If you have limited time in your schedule, you may need to pick and choose which ones you attend. Knowing which financial advisor conferences are on the horizon can help… read more…
- The Ultimate Guide to SEO for Financial Advisors
Search engine optimization (SEO) can be a powerful tool for marketing your financial advisor business. If potential clients are online looking for an advisor to work with and you’re not visible in the search results, you could be missing out on opportunities to connect. Implementing proper SEO for financial advisors can make it easier for… read more…
- How to Start a Registered Investment Advisor (RIA) Firm
Starting a registered investment advisor (RIA) firm could be a logical next step in your career if you’re ready to leave your current company behind and strike out on your own. Working as an independent RIA can allow for greater flexibility while putting you in control of your growth trajectory. That being said, it’s not… read more…
- How to Recruit the Right Financial Advisors for Your Firm
When expanding your advisory business is your primary focus, it may be necessary to hire new employees to keep pace with an expected uptick in clients. Recruiting financial advisors can require tapping into your creativity to attract quality candidates, particularly when demand outweighs supply. How do you make your business stand out from the crowd… read more…
- What Is a RIA Custodian?
Establishing a registered investment advisor (RIA) firm requires making some important decisions. Among them is selecting a custodian or multiple custodians to maintain client assets and securities holdings. Understanding what the RIA custodian does (and does not do) is the first step in choosing one to work with. Add new clients and AUM at your… read more…
- How to Fulfill the CFP Certification Experience Requirement
Obtaining a certified financial planner credential can enhance your expertise and credibility as an advisor. To become certified by the CFP Board, you’ll need to complete education, exam, ethics and experience requirements. In doing so, you demonstrate that you have the necessary training to offer financial planning services to clients. When you’re ready to satisfy… read more…
- 10 Best Financial Advisor Sales Training Programs
Successful financial advisors recognize the importance of maintaining a steady stream of new clients to keep their businesses running smoothly. Developing sales skills is essential for bringing in new business and encouraging clients to entrust you with their financial goals. If you are not a natural salesperson or you simply want to elevate your game,… read more…
- How to Become a Registered Investment Advisor in 5 Steps
You might consider becoming a registered investment advisor (RIA) if you’re interested in helping investors manage their assets. Earning a college degree in finance or a related field is usually the first step, but there are other a number of criteria to meet before you or your company can officially be considered a registered investment… read more…
- Social Media Content for Financial Advisors
Social media can be a powerful tool for marketing your advisory business. With billions of users, platforms like Facebook, Instagram, YouTube and TikTok can offer access to a built-in audience of people who may be seeking out professional financial advice. An effective social media marketing strategy starts with identifying your niche and who you want… read more…
- 5 Referral Sources for Financial Advisors
Client acquisition often starts with a conversation—sometimes with a current client, other times with a trusted professional contact or a prospect who found you online. Each of these interactions can point back to a different referral source. For financial advisors, understanding where strong referrals come from can help streamline business development and focus attention on… read more…
- What Is the Future of Financial Advisors?
The financial services industry is continuously evolving, leading to questions about what the future of financial advisors might look like. The good news is that the employment outlook for personal financial advisors appears bright, with an expected 15% growth rate through 2031. However, rapid advancements in technology and shifting demand for advice among consumers may… read more…
- How Many Clients Does a Financial Advisor Have?
Financial advisors work with clients to develop a strategy for achieving their financial goals. But just how many clients does a financial advisor have? The answer can depend on the type of clients they work with. An advisor who caters… read more…
- Client Event Ideas for Financial Advisors
Hosting client events can be a great way to show your appreciation for your clients and build stronger relationships. Satisfied clients are less likely to leave your practice for a different firm, and they may be more inclined to refer… read more…
- Building an Effective Financial Advisor Team Structure
Whether you work for a larger advisory firm or run your own financial planning business, good team management can be critical to your success. A strong financial advisor team structure can increase productivity and allow the business to run more… read more…
- How to Start a Financial Planning Business
Starting a financial planning business is something you might consider if you have a desire to help individuals or organizations make the most of their money. Financial planners and advisors can offer a broad range of advice or narrow down… read more…
- Ultimate Guide to Financial Advisor Business Plans
Creating a financial advisor business plan can help you map out a clear strategy for reaching your goals. Proper planning is essential, whether you’re establishing a new advisory firm or attempting to scale an existing business. If you’re drafting a… read more…
- Average Number of Clients Per Financial Advisor
Clients are essential to your success as a financial advisor, and you may spend a significant amount of time engaging with the ones that you have and prospecting to find new clients to work with. How many clients do you… read more…
- Can I Be a Part-Time Financial Advisor?
A career in financial planning can be rewarding, but it can also be demanding if you’re spending a significant amount of time each day prospecting, networking or meeting with clients. You might be asking this question: can I be a… read more…
- Time Management Strategies and Tips for Financial Advisors
Being a financial advisor often means wearing multiple hats and it’s easy to feel that there aren’t enough hours to fit everything in. Making the best use of your time is important for increasing productivity and focusing attention on activities… read more…
- 4 Ways Advisor Firms Nurture Leads to Grow Assets Under Management
Growing an advisory firm requires a coherent strategy. A 2023 survey conducted by Janus Henderson Investors and the Financial Planning Association (FPA) examines ways advisor firms can encourage growth. Read on to see the three ways advisor firms nurture leads and… read more…
- How to Prospect as a Financial Advisor
Knowing how to prospect as a financial advisor is essential for growth and success. And while it’s important to focus on retention to keep the clients you have, a certain amount of turnover is inevitable. Prospecting is central to a… read more…
- A Day in the Life of a Financial Advisor
Managing time wisely is key to boosting your productivity as an advisor and working effectively toward your goals. A typical day in the life of a financial advisor can span a variety of activities, from managing back-end tasks to meeting… read more…
- Virtual Assistant Services for Financial Advisors
When your advisory business is in growth mode, how you spend your time matters. Focusing on profit-producing activities such as client acquisition and retention is a top priority, but you might find your days being eaten up by time-consuming administrative… read more…
- Succession Planning Tips for Financial Advisors
As a financial advisor, you may dedicate a lot of your time to helping clients create a workable retirement plan. However, it’s also important to consider what your personal exit strategy might look like once you’re ready to retire. Succession… read more…