Advisor Resources

January 30, 2026Growing a financial advisory business doesn’t always mean doing more, sometimes it means getting more focused. Many advisors struggle to stand out in a crowded market because their message tries to appeal to everyone. Learning how and why to niche down can be a powerful turning point for advisors looking to attract better-fit clients and… read more…

October 17, 2025Social media offers a variety of opportunities for financial advisors to connect with prospective clients. While LinkedIn might seem like a less obvious choice than Facebook or Instagram for advisor marketing, the platform’s Sales Navigator feature offers some unique possibilities. This premium service can be used to facilitate lead generation so you can grow your… read more…

February 5, 2026Financial advisor sales funnels are structured systems designed to move prospects from initial awareness to becoming clients. These funnels often blend digital and in-person tactics to attract leads, assess fit and guide them toward a consultation or discovery call. By mapping each stage of the funnel, advisors can refine messaging, streamline follow-up and improve conversion… read more…

January 30, 2026Choosing where to build a financial advisory career can shape everything from how you serve clients to how much control you have over your business. For many advisors, the decision comes down to working within the structure of a wirehouse firm or pursuing greater autonomy as part of an independent RIA. Understanding the differences between… read more…

March 6, 2025Financial advisors rely on different sales strategies to drive growth. These strategies focus on client acquisition and retention, thereby helping advisors identify and engage with potential clients, communicate value propositions effectively and differentiate themselves in a competitive market landscape. Here’s are five things to keep in mind when developing your own sales strategy. SmartAsset’s Advisor… read more…

March 6, 2025Managing an independent RIA firm can be challenging on many levels. If you’re making the transition to your own practice or are looking for ways to streamline operations and increase efficiency for an existing firm, having the right tools can help. Tapping into RIA resources can make managing your advisory firm easier while enabling you… read more…

February 20, 2026A Certified Financial Planner™ must meet education, experience, ethics and examination requirements to obtain certification. Financial professionals with a degree, a qualifying credential and at least three years of experience may choose the CFP® Accelerated Path to expedite the process. Following the accelerated plan allows you to bypass much of the coursework required to earn… read more…

May 9, 2025State-registered registered investment advisors can be exempt from having to register in every state where they have clients if they don’t maintain a place of business in the state and serve no more than five clients in the state. This is known as the de minimis exemption. However, not all states follow this standard. And… read more…

May 9, 2024When Joe Anderson founded Pure Financial Advisors, his goal wasn’t just to offer great financial advice to clients. He also wanted to build an in-house sales and marketing team capable of converting leads into new clients at scale. Today, Pure Financial Advisors uses a 20-point checklist for establishing and nurturing relationships with new leads. From… read more…

March 7, 2025Partnering with SmartAsset, Pure Financial Advisors reports recently crossing a major milestone in raising over $1 billion in new assets under management through the platform. The success Pure has had with lead generation through SmartAsset has helped the business expand organically beyond its California headquarters and into other states. “Our team is proud to celebrate… read more…

February 2, 2026Back office services support the daily operations of financial advisor firms by handling functions like data entry, compliance tracking, billing and custodial coordination. These services allow advisors to offload administrative tasks and maintain focus on client relationships and investment strategy. Depending on the firm’s size and goals, outsourcing or streamlining back office services can also… read more…

February 5, 2026Being able to clearly articulate what you do and who you help is a foundational part of growing an advisory business. A strong sales pitch distills your expertise, approach and client focus into a brief, engaging message that’s easy for others to understand and remember. In time-sensitive settings such as networking events or informal conversations,… read more…

February 20, 2026Being a financial advisor today requires more than understanding your clients’ financial picture. It now demands a mastery of client relationships and sales processes to attract clients and support growth. As the financial landscape evolves, so too must the strategies employed by advisors to remain competitive and meet the ever-changing needs of their clients. Empathy and… read more…

December 4, 2025Becoming an independent registered investment advisor (RIA) is an opportunity to strike out on your own and take control of your career. Ideally, you would do so with an established client base, but if you’re unable to transfer your book of business from your previous firm, you might be starting from scratch. Starting an RIA… read more…

March 7, 2025The Corporate Transparency Act requires companies to report beneficial ownership information to the U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN). FinCEN opened an online portal to begin accepting reports in January 2024. Financial advisors who fail to meet Corporate Transparency Act reporting requirements may face penalties. Ready to grow your client base? SmartAsset’s Advisor… read more…

April 7, 2026Organic search can be a powerful tool for driving traffic to your independent advisor website. Search engine optimization, or SEO, is designed to increase your site’s visibility so that it’s easier for prospective clients to find you. Understanding RIA SEO strategies is a key component when leveraging digital marketing to promote your business. Are you… read more…

January 28, 2026The first few weeks of a new client relationship can shape how that client feels about an advisor for years to come. A confusing or disjointed onboarding experience can create doubt, while a smooth, thoughtful process builds confidence and trust from day one. For wealth management firms, getting onboarding right isn’t just about paperwork, it’s… read more…

March 6, 2025Moving to another firm or leaving your company behind to start an advisory business can be the beginning of a new phase in your career. If your current employer is a broker-dealer operating under Broker Protocol standards, there are certain compliance requirements you’ll need to meet as you move through this transition. The Broker Protocol… read more…

November 21, 2025Certified personal finance counselors (CFPCs) are professionals trained to assist individuals in making informed money decisions, aiming to foster financial stability and growth. Advisors and other professionals working in the finance industry may pursue this credential to offer advice on budgeting, debt management, saving and basic investment concepts. Here’s a closer look at the CPFC… read more…

March 7, 2025Creating and managing an investment portfolio that aligns with a client’s goals, risk tolerance and constraints is an important part of being a financial advisor. Advisors can choose from numerous strategies for constructing client portfolios. Options range from traditional asset allocation to market timing, as well as bucket and core-satellite strategies, and many others. Having… read more…

April 8, 2026Clients may come to you with financial assets that are scattered across different bank accounts or investment accounts. Financial aggregation software brings all of your client’s money into view, enabling you to make more informed decisions when offering advice. Utilizing aggregation software can offer some advantages for both you and your clients, though there are… read more…

March 6, 2025Lack of motivation can be a serious threat to client retention. You may have worked with your clients to identify their goals and the action steps they need to complete to achieve them, but if their heads—or hearts—aren’t in it, they may be less likely to remain your client for the long term. Understanding the… read more…

January 29, 2026Attending an RIA conference or convention is an opportunity to grow your professional network and expand your knowledge base. Working as an independent RIA can present some unique challenges and coming together with other advisors can prove valuable if you’re hoping to scale an existing firm or launch a new one. Keeping track of the… read more…

January 30, 2026Referrals are a sign of client trust and loyalty and can be integral to your business’s long-term growth. Encouraging client referrals begins with delivering top-notch service that exceeds expectations, but it doesn’t stop there. Offering gifts is a powerful way to incentivize clients to continue referring their friends, family members and coworkers to your firm.… read more…

March 18, 2026Risk tolerance questionnaires can help advisors better understand what their clients need when developing a financial plan. Asking questions about risk can also help you stay compliant with FINRA rule 2090, which outlines the Know Your Customer (KYC) guidelines for advisors.1 Clients may complete this questionnaire during the onboarding process, and you can also offer… read more…