- How to Find a Marketing Coach for RIAs
Marketing is an important part of business planning and development for RIAs, but getting it right can be challenging. Keeping up with evolving trends is enough to make your head spin, and what attracted clients yesterday isn’t always guaranteed to work tomorrow. Working with a coach can help you tighten up your marketing game for… read more…
- How to Streamline Client Portfolios
Managing client portfolios can take up a significant part of your day when you’re spending time researching investments, running model scenarios and scheduling trades. That may leave you fewer hours each week to meet with clients or dedicate to prospecting and marketing. Streamlining client portfolio development and management processes can help you get some of… read more…
- Smartria vs. RIA in a Box: What’s the Difference?
Compliance software can simplify the way you run your business while saving you valuable time. And Smartria and RIA in a Box are two popular compliance platforms for registered investment advisor firms of all sizes. Both offer a comprehensive suite of features and services, but there’s more to determining which one could be the right… read more…
- RIA in a Box Compliance Software Review and Pricing 2026
Managing your firm’s compliance requirements can be time-consuming, and if you’re ready to simplify, a software solution could be the answer. RIA in a Box, now COMPLY, is a popular compliance platform for busy advisors who want to free up more hours in their day to serve existing clients and attract new ones. What does… read more…
- Smartria Compliance Software Review and Pricing
Compliance is a central part of operating a successful advisory practice, but the time it requires can shift attention away from client service and growth initiatives. If you’d like to spend more of your day prospecting and serving clients, and less time worrying about compliance, software may be the answer. Smart RIA offers compliance solutions… read more…
- How to Target Specific Client Asset Amounts as a Financial Advisor
Increasing assets under management (AUM) is a common goal for growth-focused advisors. Targeting prospects in specific asset ranges could help you expand your book of business and potentially boost your firm’s AUM. Defining your ideal client, developing personalized marketing strategies and tailoring your advice may give you a competitive advantage. SmartAsset’s Advisor Marketing Platform (AMP)… read more…
- How to Grow Without a Referral Network as a Financial Advisor
A referral network, whether it features other financial services professionals or current clients, can be a powerful growth driver for advisors, but it’s not a requirement to scale. Advisors can attract new clients through a combination of SEO and AEO strategies, social media and email marketing, digital ads, as well as educational events tailored to… read more…
- Where to Find Coaching as a Financial Advisor
You want to scale your business and become the advisor prospective clients line up for, but you’re unsure how to achieve your goals. Maybe you’ve heard about coaching for financial advisors and are wondering how it may benefit you. In 2023, 46% of advisors reported working with a coach and the vast majority of them… read more…
- How to Get Estate Planning Clients as a Financial Advisor
Adding estate planning to your slate of services can be an effective way to scale your business. Not only is it possible to provide more value to your existing clients, you may attract new ones to your firm, as well. A variety of possibilities exist when it comes to how to get estate planning clients… read more…
- 10 Estate Planning Questions to Ask Your Clients
Offering estate planning services can increase the value you bring to your clients and help you scale your business more effectively. Your clients may be fully aware of the need for an estate plan, but feel reluctant to have what’s often a sensitive conversation. Drafting a list of tactful, yet insightful, estate planning questions to… read more…
- ‘It Wasn’t Just Luck’: How This Advisor’s Firm Added $14M in Reported AUM With Consistent Approach Using SmartAsset
When Robert Tutela seeks out new clients, he doesn’t solely focus on wealthy prospects with seven figures to invest. Landing million-dollar-accounts is great, but it’s not the only path to success as a financial advisor, says Tutela, an advisor and portfolio manager at Essex, LLC in Illinois. “I’ve always been of the mindset, if you’re… read more…
- How to Conduct an Annual RIA Compliance Meeting
The Securities and Exchange Commission (SEC) imposes rigorous compliance rules on registered investment advisors (RIAs). In addition to developing written compliance policies, you’re also expected to hold and document an annual compliance meeting. If you’re a newly established RIA, a little preparation can make the process of conducting this meeting a smooth one. SmartAsset’s Advisor… read more…
- How to Conduct a Mock Compliance Audit for Your RIA
Registered investment advisors (RIAs) are subject to examination by the Securities and Exchange Commission (SEC) and/or state regulatory agencies. These exams, which are intended to ensure that RIAs consistently meet compliance requirements, take place approximately every seven years according to internal SEC data.1 The SEC prioritizes newer firms that have never been examined in determining… read more…
- Client Service Agreement Template for Financial Planning
Taking on new clients is an exciting prospect when you’re focused on growing your financial planning business. Drafting a client agreement is an opportunity to set expectations and clarify what services you’ll provide. Developing a new document each time you onboard a client is unnecessary if you’re using a template that you can easily customize.… read more…
- Using Email Blasts for Prospecting as a Financial Advisor
Email is a powerful marketing strategy for advisors, offering a direct connection to the people you want to reach with your services. Once someone subscribes to your email list, typically in exchange for receiving your lead magnet, you have an opportunity to cultivate relationships, build trust and convert prospects to clients. Email newsletters are one… read more…
- How to Build a Quarterly Newsletter as a Financial Advisor
Email marketing can be an effective way to build engagement with clients while keeping them updated on the latest trends and happenings within your firm. Thirty-seven percent of advisors include newsletters as part of their content marketing plan, according to a 2024 Kitces report on how advisors market their services.1 One of the keys to… read more…
- Free Email Templates for Financial Advisors
Email marketing can be a game-changer for your advisory business, whether you’re using drip campaigns to nurture leads or sending weekly newsletters to boost client engagement. The challenge is finding the time to craft the perfect email when you’re busy tackling everything else that goes into running your business. If you’re looking for a simpler… read more…
- Comprehensive Guide to Branding for New RIAs
A strong brand can help a new registered investment advisor firm show prospects what it stands for before the first conversation begins. Branding communicates who you are, what you do and perhaps most importantly, what you value when serving your clients. How much attention do advisors pay to this aspect of their marketing? Just 20%… read more…
- How to Talk to Your Clients as a Financial Advisor
Good communication is the foundation of a strong advisor-client relationship. Your clients want to hear from you and, more importantly, they want to feel that their needs and concerns are being heard. According to CapIntel’s 2025 Investor Engagement Survey, 46% of clients say they’ll look elsewhere for advice if their advisor doesn’t communicate clearly. Making… read more…
- How to Nurture Leads as a Financial Advisor
Leads can help your business continue growing. But once you’ve made an initial connection, you’ll need to spend time building a rapport to gain trust from a prospective client. Emails and texts are an effective way to keep the lines of communication open. If you’re looking for ways to save time in this area, automated… read more…
- Tactics for Finding Warm Leads as a Financial Advisor
Building a sustainable advisory business requires a steady flow of incoming leads. The more warm leads you can generate, the more opportunities you may have to convert prospects to clients. Advisors with a defined marketing plan generate 168% more leads per month and onboard 50% more clients each year, according to a 2024 Broadridge survey.1… read more…
- What Salary Do Financial Advisors Make After 10 Years?
A career as a financial advisor has the potential to be lucrative, but how much can you expect to make? It depends on several factors, such as the number of years of experience you have under your belt. Looking at the typical financial advisor salary after 10 years can give you a better idea of… read more…
- Financial Advisor Guide to Finding Clients for Life Insurance
Expanding your service offerings to include life insurance could help fuel growth in your advisory firm if it allows you to attract new clients. For instance, Gen Zers are least likely to be covered, which may be helpful if you’re hoping to gain a foothold with the next generation of investors. You may also leverage… read more…
- 7 Billing Software Options for Financial Advisors
A well-rounded tech stack keeps your firm running smoothly and helps you maintain a competitive edge. Your choice of billing software is essential, not only for managing the books, but also for ensuring that your clients receive accurate, error-free statements. Knowing how to compare financial advisor billing software can help you choose the right option… read more…
- How to Manage Your Firm’s Bookkeeping as a Financial Advisor
As a busy advisor, you have a lot on your plate. Between client meetings and fine-tuning your marketing strategy, it can be challenging to find time for back-office tasks. There’s no downplaying the importance of accurate bookkeeping for financial advisors. Balanced books help promote a healthy bottom line. Here’s how to manage your firm’s bookkeeping… read more…