Posts by Rebecca Lake, CEPF®
Firm Management
7 Tips for Financial Advisors to Avoid Burning Out
Financial services is a demanding industry, and managing the day-to-day can be stressful, to say the least. When you’re constantly in motion, working both in your business and on it, taking care of yourself may be the last item on your to-do list. Before you know it, you’re staring down a case of financial advisor… read more…
Industry Trends
Integrating ESG Investing Into Advisory Portfolios
ESG investing incorporates environmental, social and governance factors into investment decisions. And while it’s something investors seem interested in, most aren’t implementing it in their own portfolios. A 2025 Gallup poll found that 48% of investors said they’d be interested in purchasing ESG investments, but only 10% are currently invested in sustainable funds1. Developing an… read more…
Marketing
4 Financial Advisor LinkedIn Summary Examples
LinkedIn is primarily a networking and social media platform, but it also has potential as a marketing tool for advisors. A well-organized profile can elevate your brand image and help you attract ideal clients who may be browsing the platform for an advisor to work with. Your summary or About section is one of the… read more…
Firm Management
Guide to AI Notetaker Solutions for Financial Advisors
Artificial intelligence (AI) has numerous uses in the advisory landscape, from financial planning to organizational tasks. Replacing your current note-taking system with an AI note taker for financial advisors can help you capture the most vital details from client meetings without taking your focus off the client. Here’s how these AI note-taking tools work, so… read more…
Client Retention
How to Match Your Clients With Advisors Based on Personality
Compatibility is an important part of the advisor-client relationship. Even the most experienced advisor may have difficulty making a connection if their personality doesn’t mesh well with the client’s. If you oversee a team of advisors, the decisions you make about which clients to pair them with can have a significant impact on the outcome.… read more…
Client Retention
How to Build a Better Client Experience as a Financial Advisor
One key aspect of your success as an advisor is your ability to deliver a superior client experience. Clients who feel valued are more likely to remain loyal to your firm, and they can be a vital source of referrals, which in turn helps you grow. Developing a plan for your firm and enrolling in… read more…
Firm Management
How to Create a Successful Client Meeting Agenda as a Financial Advisor
Your time is valuable, and so is your client’s. When it’s time to schedule a meeting, it makes sense to ensure that it runs efficiently, so not one second is wasted. Developing a template or checklist for client meetings can help ensure that you hit the most important talking points. Here’s what you might want… read more…
Compliance & Legal
Social Media Archiving Solutions for Financial Advisors
Social media may be an integral part of your marketing plan. And as with other business activities, there are some compliance rules you’ll need to observe. Registered investment advisors (RIAs) are subject to SEC and FINRA recordkeeping rules, which are designed to ensure the proper retention of all business communications, including social media content. Software… read more…
Marketing
Social Media Software Options for Financial Advisors
Social media’s power as a marketing tool is undeniable, and savvy advisors understand the value in leveraging platforms like Facebook, YouTube and Instagram to connect with prospective clients. Software programs can help you create and manage your content more efficiently, while ensuring that your firm adheres to compliance requirements. Features, benefits and pricing are important… read more…
Client Retention
Average Client Retention Rate for Financial Advisors
New client acquisition is essential for growth, but retaining the clients you already have is how you build a solid foundation for your business. Measuring your client retention rate against industry averages can offer insight into what you may be doing right, or wrong, when it comes to your firm. Read on to learn where… read more…
Firm Management
Growth Strategies for Independent Financial Advisors
Going independent can mark the beginning of an exciting new phase of your career. You’ll immediately have freedom and flexibility, but what you might need next are clients to help your firm grow. The challenges are real: You may have less money to pour into your marketing budget, fewer labor resources to rely on, and… read more…
Professional Development
Guide to Financial Advisor Equity Compensation
Joining a new firm is an exciting step forward in your career. But before you can begin serving clients, you have to work out the details concerning your new role. A focal point of the negotiations may be your compensation and benefits package. And your firm may offer equity compensation in addition to your regular… read more…
Marketing
How to Build an Email and Mailing List as a Financial Advisor
Email is one of the most cost-effective ways to stay in touch with clients and connect with prospects who need professional financial advice. Advisors who aren’t tapping into email’s potential as a marketing tool may be missing opportunities to convert more of those prospects to clients. Building an email list as a financial advisor is… read more…
Compliance & Legal
Do Financial Advisors Qualify for the QBI Deduction?
The Qualified Business Income (QBI) deduction, also referred to as a Section 199A deduction, allows eligible business owners to deduct up to 20% of their qualified business income on their return. Deductions can prove valuable at tax time, as they reduce your taxable income. But not everyone is eligible to claim them. So while financial… read more…
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…