Blog

Acquiring an Advisory Practice: A Decision Beyond the Math

Acquiring an Advisory Practice: A Decision Beyond the Math

By: Charlie Latimer, Director of National Recruiting
Published March 20, 2019
It’s well reported that M&A in the wealth management space in 2018 (and extending into Q2 2019) has been robust across all channels and most notably among independent advisors at IBDs and RIAs (of all sizes). Deal valuations are approaching pre-2008 levels of 6 – 8X …

Why & How Prospects Choose Financial Advisors 2.0

Why & How Prospects Choose Financial Advisors 2.0

Published April 24, 2019
5 Insights from Brad Shepard, Head of Advisor Innovation at WisdomTree, PAG conference session
The financial advisory business is going through rapid change. Acquiring new customers and assets has become more challenging than ever before. At our recent March conference, Brad Shepard, Head of Advisor Innovation at WisdomTree, challenged …

Trade Deals, Tariffs & Market Impact: Market Update April 2019

Trade Deals, Tariffs & Market Impact: Market Update April 2019

By: Guy Adami, Director, Advisor Advocacy
Published May 1, 2019
In April’s Market Update Call, Guy Adami and three guest panelists cover a number of topics from the current situation with China to the biggest risks facing the market for the second half of 2019. They also briefly touch on Brexit and the flattening yield curve. Our …

Leveraging the Power of LinkedIn to Build Your Business: PAG Annual Conference Breakout Session

Leveraging the Power of LinkedIn to Build Your Business: PAG Annual Conference Breakout Session

By: Abby Salameh, Chief Marketing Officer
Published April 24, 2019
Many advisors have had success using LinkedIn as a prospecting tool, but most underutilize its full potential. At our recent annual conference on March 24-26, David Grundfast, Associate Vice President of Global Distribution Training at MFS Investment Management, provided an interactive demonstration on …

Part II: Should You Start a Podcast? How to Maximize Exposure

Part II: Should You Start a Podcast? How to Maximize Exposure

By: Abby Salameh, Chief Marketing Officer
Published April 17, 2019
In our last blog Should You Start a Podcast? Here’s What It Takes, I shared a few practical tips to consider as you begin to plan your own podcast. Since you’re taking the time to develop a podcast, how can you get the …

Should You Start a Podcast? Here’s What It Takes.

Should You Start a Podcast? Here’s What It Takes.

By: Abby Salameh, Chief Marketing Officer
Published April 3, 2019
Podcasting can be an effective way to gain credibility, add value for clients, engage with centers of influence, and be discovered by new customers. That’s a lot of benefits for your advisory business. But like most anything else ‘the devil is in the details’. Starting a podcast …

RIA Compliance Management Part II – There Has to Be a Better Way

RIA Compliance Management Part II – There Has to Be a Better Way

By: Charlie Latimer, Director of National Recruiting
Published March 20, 2019
Last week in Part I of our RIA Compliance Management blog, we discussed the overwhelming responsibility advisors face in minimizing their exposure to risk when it comes to compliance issues. It’s an all-encompassing job for even a highly qualified CCO, which many independent firms lack.
RIAs …

RIA Compliance Management Part I – There Has to Be a Better Way

RIA Compliance Management Part I – There Has to Be a Better Way

By: Charlie Latimer, Director of National Recruiting
Published March 13, 2019
Compliance management in the RIA industry is quite literally an industry unto itself. Every RIA, whether state registered or SEC-registered, has its own Chief Compliance Officer and unique compliance program. Most of us don’t pay close attention to the sheer size of the RIA industry, but …

What Every Advisor Must Know About Paying for Referrals

What Every Advisor Must Know About Paying for Referrals

By: Jim Hooks, Guest Blogger and CCO
Published March 6, 2019
We have talked at length about the importance of networking with other professionals to secure valuable introductions to potential new clients. Do you ever pay accountants, attorneys, or real estate agents for those business referrals? The SEC’s Office of Compliance Inspections and Examinations (OCIE) …

Blogs for Financial Advisors: The Top of 2018

Blogs for Financial Advisors: The Top of 2018

By: Abby Salameh, Chief Marketing Officer
Published February 27, 2019
Part of being a successful financial advisor is continuing to devote yourself to improvement. You want to achieve better results for your clients, help your employees achieve their career aspirations, and in general help your financial firm become all that it can. There are so many avenues …

Why Socialize Your Business Plan: Your Success Hinges On It

Why Socialize Your Business Plan: Your Success Hinges On It

By: Abby Salameh, Chief Marketing Officer
Published February 13, 2019
So, now you have done many of the steps required to create a solid business plan for 2019. What’s left? For one, if you do not get buy-in on your business plan and the goals set forth within from your core constituents, you will never …

Tips for Setting (and Achieving) Goals for Your Advisory Business in 2019

Tips for Setting (and Achieving) Goals for Your Advisory Business in 2019

By: Abby Salameh, Chief Marketing Officer
Published February 6, 2019
A few weeks ago, we discussed the importance of assessing your current business situation to determine where you can improve. We uncovered the positive outcome of looking at the previous year and identifying what worked well for your firm, and more importantly, what did not …

Volatility and the Dovish Fed: Market Update January 2019

Volatility and the Dovish Fed: Market Update January 2019

By: Guy Adami, Director, Advisor Advocacy
Published January 30, 2019
In this month’s Market Update Call, Guy Adami was joined by three guest panelists to discuss the outlook for this year including the recent volatility in the markets, the apparent dovish shift of the Fed, and what investors should be prepared for in the coming months. The …

The Financial Advisor’s Guide to a Meaningful Business Review

The Financial Advisor’s Guide to a Meaningful Business Review

By: Abby Salameh, Chief Marketing Officer
Published January 16, 2019
In continuing on the momentum of last week’s blog about creating your strategic vision, the next step in creating an achievable and actionable business plan is assessing your current situation. Take a hard look at what you achieved in 2018 and determine what worked and …

Building Your Strategic Vision as an Independent Financial Advisor

Building Your Strategic Vision as an Independent Financial Advisor

By: Abby Salameh, Chief Marketing Officer
Published January 9, 2019
Last week, we addressed the importance of creating a business plan. As a recap, it is important that the business plan be a living, breathing document; one that changes and is consistently being reviewed. As a reminder, the first step to creating a successful business …

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