Advisor Resources

May 27, 2026Becoming an independent financial advisor can offer more freedom and flexibility in how you serve clients and build your business. By 2027, independent and hybrid RIAs are expected to control nearly one-third of asset market share, growing at a faster rate than any other advisor channel, according to Cerulli Associates.1 Advisors pursuing independence may choose from… read more…

May 13, 2026In today’s digital age, financial advisors must maximize tools like email prospecting to grow their client base. This involves identifying prospects, sending personalized emails and following up to nurture relationships. Done effectively, email prospecting is a low-cost way to reach a wide audience, build relationships and track engagement. SmartAsset’s Advisor Marketing Platform offers financial advisors… read more…

January 30, 2026Digital marketing has become an essential growth tool for financial advisors, but success depends on choosing the right strategies. From building a strong social media presence to using video and targeting local audiences, small, consistent efforts can create meaningful visibility over time. When aligned with an advisor’s brand and ideal client, digital marketing ideas can… read more…

May 19, 2026Custodians and broker-dealers are often mentioned together, but they serve different roles in an advisory business. Custodians hold and safeguard client assets, while broker-dealers facilitate securities transactions and supervise brokerage activity. For advisors, the difference can shape how a firm operates, how clients are served, how compensation works and which regulatory obligations apply. Understanding the… read more…

March 3, 2025Investing in mutual funds can be a lucrative venture, helping you grow your wealth, save for retirement or achieve other financial goals. However, navigating this complex landscape can be challenging for many, especially those new to investing. Enter the mutual fund advisor – a financial professional providing expert guidance and assistance in the world of… read more…

May 7, 2026The importance of creating an exceptional client service model can’t be underestimated. Attracting clients and retaining their loyalty begins and ends with delivering an experience that not only meets but exceeds their expectations. The most effective client service model for financial advisors is one that emphasizes value while encouraging engagement. Here’s a closer look at… read more…

June 3, 2026Building a financial planning business can bring plenty of challenges, not the least of which is deciding how to market your new firm. However, a solid marketing campaign can catapult your business to success. Unfortunately, a weak one may leave you struggling to stand out from the competition. To create a successful financial planning marketing… read more…

February 3, 2026Money is a highly personal subject, and as an advisor, it’s your job to offer advice that speaks to your clients’ individual needs and goals. The money scripts clients adopt can influence the way that you approach that task. A client’s money script represents the internalized beliefs they have about money, which are often formed… read more…

April 22, 2026Errors and omissions insurance helps financial advisors and registered investment advisors (RIAs) protect themselves against client claims stemming from professional mistakes, negligence or failure to deliver promised services. This type of professional liability insurance can help cover legal defense costs, settlements or court judgments. Given the regulatory environment and level of client scrutiny advisors face,… read more…

March 6, 2025The process of transitioning a financial advisor firm involves moving client relationships and assets, which often define the viability and profitability of the firm. This is done by either buying a book of business or hiring a new financial advisor who is bringing a book of business with them. For advisors, understanding this transition can… read more…

March 3, 2025Are you looking to take your firm to the next level? The right talent can make all the difference, and one such talent is an associate advisor. This crucial player in client relationship management, portfolio analysis and support for financial plans can supercharge your firm’s strategic growth. This guide unpacks each step of the process,… read more…

February 4, 2026Buying a book of business as a financial advisor involves acquiring an existing client base, often from a retiring or transitioning advisor. This process can be an opportunity to expand your practice, generate immediate revenue and build long-term relationships with established clients. Acquiring a book requires assessing both the advantages and potential risks, as well… read more…

December 11, 2025Financial advisors often credit their successful careers to the insights and experience gained during internships, underscoring the significance of such opportunities. A financial advisor internship is a valuable stepping stone into the finance industry, a chance to apply classroom knowledge in real-world situations. Here’s a breakdown of what these internships entail, the types of companies… read more…

March 3, 2025The rules around ESG investing might soon change. On September 20, the SEC updated its rules that govern environmental, social and governance (“ESG”) investment funds. The new rule updates how these funds are named, requiring a fund that advertises itself as ESG to hold at least 80% of its investments in related assets. From a… read more…

March 6, 2026The Securities and Exchange Commission (SEC) oversees the enforcement of financial securities laws. On its website, the SEC has organized some of its compliance guides for small businesses and brokerages. It lists nearly 80 individual topics, each of which takes you to a guide that, itself, is just a summary of much more in-depth issues. This… read more…

January 28, 2026Whether you’re considering a career as a financial advisor or looking to work with one, it’s helpful to understand the landscape of this profession. Financial advisors provide expertise to help individuals and organizations make smart money decisions. Estimates vary, but approximately 300,000 financial advisors work in a range of industries and in every state and… read more…

May 19, 2026A one-page financial plan template offers a streamlined snapshot of a client’s financial goals, assets and strategies, making complex planning more accessible. By summarizing a client’s income, net worth, asset allocation and other elements of a financial plan, a one-page format provides a structured yet flexible approach to managing finances. It can also serve as… read more…

January 30, 2026Staying up to date on the latest industry trends and news is important as an advisor and it’s helpful to have a go-to list of sources for information. That might include reading financial advisor magazines, listening to podcasts, or keeping up with top bloggers in the advisory space. If you’re looking for some new financial… read more…

April 1, 2026Having the right technology can be critical to a registered investment advisor’s success. Joint research from Broadridge and the Financial Services Institute indicates that 68% of advisors don’t feel confident that their firm’s current tech supports their growth goals.1 Building an RIA tech stack that facilitates client acquisition and retention may be key to building… read more…

March 3, 2025Navigating the complex maze of financial regulations may seem daunting as a financial advisor, yet it remains a crucial responsibility of your profession. Take, for instance, Anti-Money Laundering (AML) Compliance – a set of rules that, when misunderstood or overlooked, can lead to detrimental consequences. These are good regulations that help protect client money and… read more…

April 7, 2026A well-crafted value proposition sets your financial advisory firm apart from others and helps you identify your unique selling points. Moreover, it succinctly communicates the unique benefits clients can expect from your services, effectively becoming your firm’s secret weapon in a market flooded with options. With $124 trillion in assets set to change hands through… read more…

May 13, 2026A marketing agency can help an advisory firm turn its expertise into messaging that resonates with the right prospects. Instead of relying on ad hoc outreach, agencies can support a more consistent approach across a firm’s website, content, search visibility and lead-generation campaigns. For firms that want to grow but have limited time to run… read more…

June 23, 2026Reverse churning is the fraudulent practice of charging a flat fee for idle accounts. It represents a breach in fiduciary duty to the client, who would be better served with a per-transaction fee structure. It can cost your firm its money, its clients and potentially even its ability to conduct business. It’s not enough to say… read more…

March 3, 2025The SEC has decided that cybersecurity and related issues are now a material risk that public companies must disclose. As a result, in July of this year, the agency released a new rule on the issue. Registered companies must disclose material cybersecurity incidents as they happen. Registered companies must also make cybersecurity risk management part of… read more…

February 2, 2026Technology can make running your advisory business easier but it’s important to know which ones are worth the investment. The best financial advisor tech tools are ones that can help you save both time and money while making it easier to scale and sustain your business. Some key categories of tech tools can prove most… read more…