You've probably heard about holistic financial planning. But what does it mean, and is it right for you? We have answers. If you're like most financial advisors, investment planning and management are the mainstays of your business. But today, more advisors are considering adding holistic...

Your senior clients can become targets of financial exploitation. Are you ready to protect them against determined fraudsters and abusers? As an investment advisor, you’re no stranger to seeing senior financial fraud and abuse. Perhaps you’ve seen an elderly client lose money to a...

Clients recoil from discussions of funding retirement healthcare. Why? Because the numbers are so big. Here’s how to make planning less intimidating. It’s no wonder your clients get worked up when they think about paying for healthcare in retirement. According to the latest Fidelity...

“Breaking away” is a common term used to describe securities registered representatives who leave their wirehouse broker-dealers to leverage the financial advantages of the RIA channel. But it’s also used when current IARs need to find a more hospitable home for their talents,...

The rewards of becoming a registered investment advisor (RIA) have been well documented. For the right person transitioning from the securities brokerage, insurance or financial-planning fields, the financial, personal and intellectual benefits are substantial. However, becoming an RIA is a complex...

Working as a registered investment advisor (RIA) has its rewards. But heavy compliance requirements can be a downside. Here are some of the major issues RIAs must contend with. One way to limit your registered investment advisor (RIA) liability exposure is to effectively handle your compliance...

When should RIAs keep or drop their FINRA registration? It’s a tricky question with serious consequences. Get answers here. As a registered investment advisor (RIA), you’re well aware of your Securities and Exchange Commission (SEC) or state registration requirements. But should you...

Have you segmented your client base according to financial or other criteria? If not, you may be missing out on an opportunity to optimize your firm’s performance. Client segmentation—defined as categorizing your customer base by key factors in order to optimize service delivery and...