Posts by Rebecca Lake, CEPF®
Client Retention
How to Utilize Transition Services as a Financial Advisor
Change is sometimes necessary for growth. That may mean a change of scenery, as you move from one advisory or wealth management firm to another. Or it could mean a change in your business model if you’re ready to go independent and start your own RIA. Financial advisor transition services can aid in making the… read more…
Firm Management
Client Onboarding Service Solutions for Financial Advisors
Offering new clients a seamless onboarding experience helps build trust and sets a positive tone for the future of your professional relationship. Partnering with an onboarding specialist or platform can help you develop a streamlined process that welcomes new clients into the fold with minimal stress. Read on to learn more about client onboarding solutions… read more…
Marketing
How to Build a Memorable Email Signature as a Financial Advisor
Email keeps you connected to clients and prospects, and its value as a marketing tool can’t be underestimated. Ending messages with a professional signature can make an impact, reminding recipients who you are and what you’re equipped to help them with. Below, we’ll cover the essential elements to include in your financial advisor email signature.… read more…
Professional Development
Guide to Continuing Education (CE) for Financial Advisors
Obtaining professional certifications or designations can underscore your expertise and help you attract new clients to your business. Earning financial advisor credentials typically requires a combination of education, experience and examination. Maintaining your credentials, meanwhile, may be contingent on completing additional continuing education requirements. Here’s what you need to know about continuing education for financial… read more…
Professional Development
7 Sales Skills Every Financial Advisor Needs
Mastering the art of selling is an important part of converting more prospects to clients and growing your business. Strong sales skills can not only set your advisory business apart from your competitors, it can also help you deliver a top-tier experience to your clients. Here are some strategies you can use to develop a… read more…
Firm Management
RIA Custodian Comparison Guide for 2025
Registered investment advisors (RIAs) are generally required by the Investment Advisers Act of 1940 to have an independent custodian hold client assets. This requirement is designed to protect clients, but advisors have some leeway in deciding which custodian they want to use. Conducting an RIA custodian comparison can help you evaluate the options for your… read more…
Client Acquisition
How to Evaluate ROI for Lead Generation as a Financial Advisor
Sourcing leads through multiple channels offers more opportunities for you to connect with your ideal clients, but it’s important to consider the return you’re getting for your investment. Otherwise, you could be wasting time and money on lead gen strategies that might not pay off. Here’s how to evaluate lead generation ROI for advisors. Are… read more…
Client Acquisition
How to Navigate Lead Generation Options for Financial Advisors
Maintaining a healthy pipeline of leads is fundamental to your success as an advisor. While you may be working on increasing wallet share with existing clients, you still need regular infusions of new clients to drive growth. And a diversified approach is key when it comes to how to navigate lead gen channels for financial… read more…
Firm Management
Estate Planning Intake Form Template for Financial Advisors
Estate planning can be a valuable addition to your firm’s scope of services, enabling you to increase wallet share with existing clients or attract prospects who need professional planning advice. An intake form or questionnaire is a straightforward way to collect the information you need in order to help shape their plans. Here’s how to… read more…
Marketing
20+ Lunch and Learn Ideas for Your Financial Advisor Firm
Marketing events offer an opportunity to connect with prospects and initiate conversations around financial planning. And hosting a mix of online and offline events can help broaden your firm’s reach and increase your visibility in the eyes of your ideal clients. If you’re hoping to make inroads in your local community, a lunch and learn… read more…
Marketing
35 Ideas for Your Financial Advisor Seminars
Making genuine connections with prospects is key when it comes to converting them into clients. Email and social media offer numerous opportunities to engage, and you can build on that foundation with an in-depth seminar. Hosting in-person or virtual events is a chance to take a deeper dive into a topic that speaks to prospective… read more…
Firm Management
5 Sales Strategies for Financial Advisors
Financial advisors rely on sales strategies to close the deal, but success is not measured in conversions alone. Your firm’s growth also hinges on your ability to nurture genuine relationships with your clients, meet them where they are and deliver superior service that exceeds their expectations. Sales and service are intertwined, and the advisor who… read more…
Client Acquisition
Can Financial Advisors Pay Fees for Referrals?
In an increasingly competitive advisory landscape, the role word-of-mouth marketing plays in building a thriving practice can’t be overlooked. Referrals, whether they come from your existing clients or other professionals in your circle of influence, can lead to more conversions and lay the groundwork for long-lasting advisor-client relationships. Developing a referral program may open the… read more…
Marketing
5 Marketing Event Ideas for Financial Advisors
Marketing is an essential part of a business’s growth. And holding marketing events can help you build stronger connections with prospects who fit your idea of an ideal client. The question is, what kind of event is most likely to help you build real connections that eventually convert? If you’re running short on inspiration, consider… read more…
Client Acquisition
How to Grow Your Financial Advisor Business
Building a thriving practice takes planning, dedication and, sometimes, just a little luck. When it comes to how to grow your financial advisor business, the fundamentals include actively building your brand, optimizing your marketing efforts and delivering a superior client experience. That being said, there are some strategies you can implement that can help you… read more…
Firm Management
20+ AI Tools Financial Advisors and Planners Could Leverage
Artificial intelligence (AI) is making its mark on the financial services industry. From content creation to portfolio management, there are an abundance of AI tools for financial advisors that you can consider. If you’re ready to explore the possibilities of AI for your practice, you can start by researching which tools you might consider adding… read more…
Client Acquisition
5 Ways to Ask and Pay for Referrals as a Financial Advisor
Referrals make getting on a prospect’s radar easier, and delivering a superior client experience can help you generate them organically. If referrals come to your firm in a trickle rather than a flood, it may be a good idea to master the art of the ask. Some of the most valuable financial advisor referrals may… read more…
Client Acquisition
How to Build a Strong Referral Program as a Financial Advisor
Word of mouth remains one of the most powerful marketing tools for growing your advisory business. Referrals attest to your firm’s credibility and to the level of satisfaction your clients feel when working with you. Building a financial advisor referral program is one way to maintain a full prospect pipeline so your business continues to… read more…
Marketing
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…
Firm Management
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 spend with clients or dedicate to prospecting and marketing. Streamlining client portfolios and the portfolio management process can help you get some… read more…
Firm Management
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…
Firm Management
RIA in a Box Compliance Software Review and Pricing
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 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 RIA in… read more…
Firm Management
Smartria Compliance Software Review and Pricing
Compliance is a critical aspect of running a thriving practice, and its often time-consuming nature may push other areas of focus into the background. 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 for advisors… read more…
Client Acquisition
How to Target Specific Client Asset Amounts as a Financial Advisor
Increasing assets under management (AUM) is a common goal for growth-focused advisors. You may know, however, that building a book of business is sometimes easier said than done. Niching down to focus on clients in a particular asset range is one way to counter the challenges of growing in a competitive market. Here’s how to… read more…
Marketing
How to Grow Without a Referral Network as a Financial Advisor
The connections you build within your industry can help bring more referrals, and thus prospects, your way. Every referral you receive from another professional is a mark of trust, which can underscore your credibility and help you gain a prospective client’s loyalty. But is it possible to grow without a referral network in place? Yes,… read more…