Advisor Resources

March 3, 2025Investing involves many complexities, and one frequently overlooked cost is the fee imposed by the Securities and Exchange Commission (SEC). This SEC fee is a transaction charge that financial advisors must pay when selling exchange-listed and over-the-counter securities to support the SEC’s operations. In May 2024, the fee more than tripled from $8 per million… read more…

November 21, 2025Artificial intelligence (AI) is making a growing impact across many industries, including financial services. While most clients still value the personal connection of working with a human advisor, the role of AI in wealth management is becoming increasingly hard to ignore. A 2024 Broadridge report found that 35% of advisors plan to use AI tools… read more…

March 3, 2025Once you’ve decided to hire an advisor for your firm, it’s crucial to find a candidate who aligns best with the needs and aspirations of your clients. There are a number of key questions to ask financial advisor candidates to gain insight into whether they would be a good fit for your firm. Answers to… read more…

March 3, 2025The term ‘financial planner’ can apply to a broad range of professionals, including accountants, insurance agents and investment advisors. If you work in any of those capacities or a related field, it’s important to understand the regulatory guidelines that apply. Financial planning regulation encompasses a broad range of requirements and rules. The type of regulation… read more…

October 15, 2025Certified Financial Planner™ (CFP®) are subject to continuing education requirements in order to maintain their certification. Specifically, they’re required to complete 30 hours of continuing education each reporting period, which includes two hours of study in the area of ethics. CFP® professionals can complete the requirements by taking paid or free courses online. If you’re… read more…

March 3, 2025If you’re an investment advisor, whether you’re a seasoned pro or just starting out, deciphering rules and regulations like the Securities and Exchange Commission (SEC) Marketing Rule is key to your success and compliance. This rule specifically highlights what advisors can and cannot do when marketing their services to potential clients. Failing to adhere to… read more…

March 3, 2025The Securities and Exchange Commission (SEC) regulates the activity of registered investment advisors. Advisors must adhere to numerous compliance rules outlined in the Investment Advisers Act. Rule 206(4)-2, known as the custody rule, outlines RIA duties regarding holding client assets. Add new clients and AUM at your desired pace with SmartAsset’s Advisor Marketing Platform. Sign… read more…

February 3, 2026Compliance is one of the most important, and often misunderstood, parts of running a registered investment advisor firm. Regulations shape how advisors communicate, manage client relationships and document their advice, yet many of these rules operate quietly in the background until something goes wrong. Understanding RIA compliance requirements isn’t just about avoiding penalties; it’s about… read more…

January 28, 2026Becoming a CFP® professional is a major career milestone, but the cost of education and certification can feel like a barrier for many aspiring financial planners. CFP® scholarships are designed to ease that burden, yet they’re often overlooked or misunderstood. Knowing how these scholarships work and how to apply can open the door to financial… read more…

February 5, 2026Managing a successful financial advisor practice involves more than crunching numbers and managing investments. It also calls for astute team management, resource optimization, goal setting, key metrics tracking and continuous learning. With the finance sector evolving, technology can also help you streamline your practice management and boost revenue. Follow these tips to manage your practice… read more…

November 6, 2025Shopping around for a new broker-dealer to join? One of the most important things to consider is how much you’ll get paid. Looking at a financial advisor payout grid comparison can give you a better idea of the kind of compensation you can expect to receive from commissions. There are different factors that can affect… read more…

January 30, 2026In the registered investment advisor space, aggregators are companies that acquire smaller businesses and operate them with the end goal of generating a profit. For instance, an advisor might seek a partnership with an RIA aggregator if they’re ready to leave their broker-dealer behind but aren’t quite ready to run a standalone firm by themselves.… read more…

March 1, 2025If you work in financial planning or want to pursue a career in the field, you may wonder about the value of getting a Ph.D. in financial planning. Earning this diploma can open up unparalleled opportunities for employment in teaching, research and consulting. However, it also requires a significant investment of time and money. And,… read more…

January 29, 2026Software programs can help registered investment advisors (RIAs) and financial advisors run their businesses more efficiently. From tracking and analyzing data to generating reports to financial planning, these programs can help you organize and streamline your operations. If you’re looking to invest in software, it helps to know which RIA software solutions stand out from… read more…

January 30, 2026Artificial intelligence is no longer a future concept in financial advice, it’s already changing how advisors work every day. From streamlining research to automating time-consuming tasks, AI is reshaping the behind-the-scenes operations of advisory firms. Understanding how these tools are being used can help advisors adapt, stay competitive and refocus their time on what matters… read more…

December 4, 2025Niching down is one of the most effective ways for a financial advisor to differentiate their practice and attract their ideal clients. Surprisingly, just 8% of advisors actively pursue niche marketing for client acquisition, according to AcquireUp’s 2025 Industry Index. That suggests a wide field of opportunity for advisors who are comfortable leaning into a… read more…

March 14, 2025The Securities and Exchange Commission (SEC) is a federal agency responsible for overseeing key aspects of the investment industry. Its regulatory scope includes securities brokers and dealers, investment advisors, mutual funds and securities exchanges, among others. As stated by USA.gov, the SEC’s mission is to “promote fair dealing, the disclosure of important market information, and… read more…

January 14, 2026Attending wealth management and investment conferences can be a great opportunity to network and get up to speed on the latest industry trends and news. If you have limited time in your schedule, you may need to pick and choose which ones you attend. Knowing which financial advisor conferences are on the horizon can help… read more…

February 5, 2026Search engine optimization (SEO) can be a powerful tool for marketing your financial advisor business. If potential clients are online looking for an advisor to work with and you’re not visible in the search results, you could be missing out on opportunities to connect. Implementing SEO best practices can make it easier for prospects to… read more…

February 3, 2026Starting a registered investment advisor (RIA) firm could be a logical next step in your career if you’re ready to leave your current company behind and strike out on your own. Working as an independent RIA can allow for greater flexibility while putting you in control of your growth trajectory. That being said, it’s not… read more…

March 1, 2025When expanding your advisory business is your primary focus, it may be necessary to hire new employees to keep pace with an expected uptick in clients. Recruiting financial advisors can require tapping into your creativity to attract quality candidates, particularly when demand outweighs supply. How do you make your business stand out from the crowd… read more…

February 3, 2026Behind every registered investment advisor is a custodian quietly handling the mechanics that keep client assets safe and accessible. While advisors focus on planning and relationships, custodians play a crucial role in executing trades, maintaining records and providing transparency. Yet many advisors don’t fully understand what custodians do, or how choosing the right one can… read more…

August 2, 2025Obtaining a certified financial planner credential can enhance your expertise and credibility as an advisor. To become certified by the CFP Board, you’ll need to complete education, exam, ethics and experience requirements. In doing so, you demonstrate that you have the necessary training to offer financial planning services to clients.  When you’re ready to satisfy… read more…

January 9, 2026Successful financial advisors recognize the importance of maintaining a steady stream of new clients to keep their businesses running smoothly. Developing sales skills is essential for bringing in new business and encouraging clients to entrust you with their financial goals. If you are not a natural salesperson or you simply want to elevate your game,… read more…

February 5, 2026You might consider becoming a registered investment advisor (RIA) if you’re interested in helping investors manage their assets. Earning a college degree in finance or a related field is usually the first step, but there are other a number of criteria to meet before you or your company can officially be considered a registered investment… read more…