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Five Things Your Advisor Website Might be Missing

Five Things Your Advisor Website Might be Missing

Published July 17, 2019
Building your advisory firm’s website takes a lot of hard work and forethought. You have to determine your brand’s identity and think about your audience and message. Website visitors have a tendency to spend only a few seconds on a page before losing interest, which means you have to catch their attention …

Takeaways from June On-Site Training

Takeaways from June On-Site Training

By: Karen Hayes, Marketing Associate
Published July 10, 2019
Never underestimate the importance of meeting with a financial advisor community face-to-face. That’s the general consensus following Private Advisor Group’s on-site training events this past month, held at Goldman Sachs and Vanguard. I know it’s difficult to take a day away from your task list, but as our …

Protecting your Firm’s Data: Are your Cyber Warriors Battlefield Tested?

Protecting your Firm’s Data: Are your Cyber Warriors Battlefield Tested?

By: Kevin Sullivan, Guest Blogger and Director of Compliance
Published June 26, 2019
Every rank, from private to general in the United States Marine Corps has to pass a battle skills test annually. As financial professionals, every day your computer, your network and your employees enter the cyber battlefield against an ever-growing and more sophisticated army …

Best Practices for Hosting Client Events

Best Practices for Hosting Client Events

By: Karen Hayes, Guest Blogger and Marketing Associate
Published June 12, 2019
When executed well, client events can be key to building relationships with your existing clients, retaining the clients you already have, and they can lead to more referrals, which means growth for your financial firm. The most successful client events offer something of value and …

The Millennial’s Guide to Financial Adulting

The Millennial’s Guide to Financial Adulting

By: HighPoint Advisors, LLC
Published June 5, 2019
It happens quickly – you trade in your graduation cap for your first real job, first apartment, and perhaps your very first car. But six months after graduation day, that first student loan payment arrives, and almost instantly, you feel overwhelmed. You knew adulting would be tough, but you …

Acquiring an Advisory Practice: A Decision Beyond the Math Part 2

Acquiring an Advisory Practice: A Decision Beyond the Math Part 2

Published May 22, 2019
Extending from part one of last week’s blog, I wanted to highlight a few additional areas to consider when navigating through the psychology of an acquisition. While much of this may appear as common sense, no doubt we all tend to overlook the simpler side of things. Acquisition …

Acquiring an Advisory Practice: A Decision Beyond the Math

Acquiring an Advisory Practice: A Decision Beyond the Math

Published May 15, 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 EBITDA, and appear to be lingering …

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

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 how advanced LinkedIn techniques can …

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

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

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 most out of it? In …

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

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

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 takes discipline and planning, but …

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

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

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 are clearly proud of what they …

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

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

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 there are currently over 35,000 RIAs …

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) …

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