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What can On-Site Training do for your Independent Advisory Firm?

What can On-Site Training do for your Independent Advisory Firm?

By: Karen Hayes, Guest Blogger and Marketing Associate
Published July 11, 2018
How would additional training for your advisors, administrative, or operations professionals make a difference in your financial firm? What do you wish you just knew more about, or what would you ask if you had a team standing ready to answer all your questions?
This is …

Advertising Compliance Do’s and Don’ts for Financial Advisors

Advertising Compliance Do’s and Don’ts for Financial Advisors

By: Julie Galbraith, Guest Blogger and Compliance Liaison
Published June 13, 2018
Every financial advisor understands the importance of compliance for any prospective advertising content, to ensure it is not misleading and meets compliance requirements. We know the process well: you have a great idea for your social media channels or a blog. You spend time carefully …

Three Things Advisors Should do to Get the Most out of their CRM

Three Things Advisors Should do to Get the Most out of their CRM

By: Charlie Latimer, Director of National Recruiting
Published June 6, 2018
Client Relationship Management systems (CRMs) have been around for over 20 years and while most financial advisors use a CRM of some kind, many are missing the true power of the technology. At the very basic level, advisors use CRMs like Salesforce and

The Secret to Hosting Events your Clients will Rave About

The Secret to Hosting Events your Clients will Rave About

By: Abby Salameh, Chief Marketing Officer
Published May 30, 2018
Hosting successful client events can turn your clients into raving fans of your advisory practice. It can also be the pathway for introductions to friends and family members. How hard could it be to throw a successful event? The art of mastering these events takes serious skill …

How to Decide on a Name for your Financial Firm

How to Decide on a Name for your Financial Firm

By: Abby Salameh, Chief Marketing Officer
Published May 23, 2018
What’s in a name? Specifically, your firm name?
The truth is, quite a bit. As independent financial advisors, when you start your new firm you have an incredible opportunity to begin fresh. You are in the driver’s seat when it comes to branding your new firm, choosing …

Lessons from Ed Slott at the 2018 PAG Annual Conference

Lessons from Ed Slott at the 2018 PAG Annual Conference

By: Abby Salameh, Chief Marketing Officer
Published May 9, 2018
At our 2018 Annual Conference just a few weeks ago, we had the incredible opportunity to hear from financial expert Ed Slott, named the “best source for IRA advice” by The Wall Street Journal. His entertaining delivery and gift of humor had us chuckling and …

ESG Investing Makes a Difference: April Market Update

ESG Investing Makes a Difference: April Market Update

By: Abby Salameh, Chief Marketing Officer
Published May 2, 2018
Today’s advisors are repeatedly fielding questions regarding ESG (Environmental, Social, Governance) investing, even beyond millennial investors. The term “ESG investing” has a fluid definition among advisors and clients, ranging from socially responsible investing to simply screening and excluding investment opportunities for moral or ethical reasons. In our …

How Leveraging Interns can Benefit your Advisory Practice

How Leveraging Interns can Benefit your Advisory Practice

By: Abby Salameh, Chief Marketing Officer
Published April 25, 2018
Think about your day-to-day life. Do you keep a frantic pace trying to accomplish all of the duties on your to-do list? Wouldn’t it be great if you had another pair of hands? A “right-hand man”? An assistant? From large firms to small, we all have days …

Five Must-Read Books for Savvy Financial Advisors

Five Must-Read Books for Savvy Financial Advisors

By: Abby Salameh, Chief Marketing Officer
Published April 18, 2018
Now that tax day is over, many advisors can breathe a sigh of relief for another 12 months. While it still does not feel like spring in the northeast, we know the warmer weather is on its way. That, in turn, means the lazy days of …

An Opportunity to Learn from Top Advisors at the Barron’s 2018 Advisor Summit

An Opportunity to Learn from Top Advisors at the Barron’s 2018 Advisor Summit

By: Abby Salameh, Chief Marketing Officer
Published April 4, 2018
Words like “invitation only” and “exclusive” make us wake up and pay attention. That means there is something special and set apart about a group we can all learn from because they’re the best. That’s exactly what was going through my mind as I attended the Barron’s …

The Easy Secret to Local SEO every Financial Advisor Needs

The Easy Secret to Local SEO every Financial Advisor Needs

By: Abby Salameh, Chief Marketing Officer
Published March 28, 2018
Every advisor knows all he or she could be doing for their online presence. You have no doubt heard that Search Engine Optimization (SEO), social media, email marketing, videos, and content marketing can be powerful tools to differentiate your firm, generate leads, and stay relevant. …

Perspectives on a Post Broker Protocol World as Wirehouses Bail

Perspectives on a Post Broker Protocol World as Wirehouses Bail

By: Charlie Latimer, Director of National Recruiting
Published March 21, 2018
Up until five months ago, wirehouse financial advisors enjoyed a period spanning fourteen years under the “cease fire” protection of the Broker Protocol where they could transition their practices to virtually every other channel, including other wirehouses, independent broker-dealers, RIAs and RIA roll-up firms, …

Who Will Win Millennial Investors

Who Will Win Millennial Investors

By: Abby Salameh, Chief Marketing Officer
Published February 28, 2018
Millennials are not exactly the target investor financial firms desire; they don’t seem to fit the profile of wealth. The word “Millennial” is nearly synonymous with student debt and lower incomes. Born between 1980 and the year 2000, this generation has faced higher unemployment rates and consequently …

2018 OCIE National Exam Priorities: Take the SEC at Their Word

2018 OCIE National Exam Priorities: Take the SEC at Their Word

By: Kevin Sullivan, Guest Blogger and Director of Compliance
Published February 21, 2018
It always strikes me as odd how many will be quick to discredit information coming from the SEC’s Office of Compliance Inspections and Examination (OCIE). Usually, the responses range from the doubting Thomas’ to the indifferent and apathetic.
My physics professor was fond of the …

Growth of a Hybrid Registered Investment Advisor

Growth of a Hybrid Registered Investment Advisor

By: Abby Salameh, Chief Marketing Officer
Published February 14, 2018
I can recall the days 10 years ago when there was much noise about the hybrid advisor being a stepping stone for an independent advisor on his or her path to complete independence (i.e.: dropping FINRA licenses and doing fee-only business). Simultaneously, insurance firms were launching broker-dealers …