- Custodians for Independent Firms Who Need Ops and Marketing Help
Going independent has its benefits, including flexibility and freedom. Half of advisors who go independent choose to start their own registered investment advisor firm, according to a 2024 Schwab survey. If you follow this path, you’ll need a trusted RIA custodian to hold client assets. What’s the best custodian for small independent advisors needing ops… read more…
- How to Prepare Clients for Retirement as a Financial Advisor
For many clients, retirement is a goal that can feel far away, until one day, it’s right around the corner. Preparing clients for retirement means addressing their financial concerns, as well as their mental and emotional readiness. How you approach your planning and preparation strategy depends on how close (or far away) your clients are… read more…
- 5 Ways Financial Advisors Can Maintain Work/Life Balance
Work-life balance can often feel elusive for financial advisors. Your working hours are split between client meetings, business development and the back-office tasks necessary to keep your firm running. It may become all too easy to slip into a pattern of taking work home with you or sacrificing weekends to complete any unfinished tasks. Maintaining… read more…
- How Does the Outsourced CIO (OCIO) Model Work for RIAs?
Outsourcing allows advisors to delegate operational tasks and, in some cases, certain organizational roles. For example, RIAs may opt to handle investment management with the help of an OCIO, or Outsourced Chief Investment Officer. Examining the benefits of an outsourced CIO for RIAs, as well as the potential drawbacks, can help advisory firms determine if… read more…
- 5 Platforms to Find a Financial Planning Business for Sale
Acquiring an existing business is one avenue to growth, but it can also meet other needs for your advisory firm. Over the past five years, 41% of registered investment advisors have engaged in mergers and acquisitions, according to Schwab’s 2025 RIA Benchmarking Study1. If you’re interested in finding a financial planning business for sale, several… read more…
- Retirement Planning Software Options for Financial Advisors
Technology can help you run your business more efficiently and produce better results for your clients. A majority of advisors, 84%, use financial planning software to better serve their clients, according to the T3 Inside Information 2025 Software Survey1. And only 19% of advisors use software that’s exclusively focused on retirement distribution planning. But retirement… read more…
- AI Lead Gen Tools and Software for Financial Advisors
Lead generation plays a vital role in growing your practice, and you can employ a variety of techniques to attract new clients to your business, such as artificial intelligence (AI). AI could help you to streamline your lead gen efforts so they’re more efficient and generate better results. Comparing lead gen AI tools based on… read more…
- AI Lead Gen Best Practices for Financial Advisors
More advisors are exploring the possibilities of artificial intelligence for lead generation to scale their businesses. Tech companies are rising to the challenge to deliver user-friendly, results-driven tools that offer advisors a streamlined way to connect with high-intent leads. Developing some AI best practices for lead gen can help ensure that you’re using these tools… read more…
- The Importance of Succession Planning as a Financial Advisor
Succession planning is something you may assist your clients with, but consider how much thought you’ve given to the future of your own business. When it comes to succession planning for financial advisors, there are numerous benefits, yet roughly one-third of advisors lack a formal exit strategy. Early planning can make for a smoother transition… read more…
- 4 Succession Solutions for Financial Advisors
Even though you may be focused on growing your practice, you’ll eventually need to think about how you want to handle your eventual exit. This is where succession planning consultants come in. They can help you develop a strategic plan for transitioning your business to someone else, with the goal of making the process as… read more…
- When Should Advisors Start Succession and Exit Planning?
Building a thriving advisory firm is a significant accomplishment, but what happens to the business, and your clients, when you’re ready to move on? A comprehensive succession plan can help answer those questions. In regards to when financial advisors should start succession planning, the short answer is as soon as possible. But the longer answer… read more…
- How Much Outsourcing Paraplanning Fees Costs
If you’d like to free up more time to spend with your clients, you might consider outsourcing some of your daily tasks to a paraplanner. Paraplanners can work alongside advisors to help lighten their workload. But what’s a fair price to pay for this type of service? Researching outsourced paraplanning fees can give you an… read more…
- What to Know About Outsourcing Paraplanning Services
Developing financial plans lies at the core of what you do, but a busy schedule may have you looking for help with this task. That’s where paraplanners come in. Paraplanners can complete certain tasks in the planning process so that advisors can spend more time with their clients. Some advisors choose to hire in-house staff… read more…
- AI Agent Services That Can Revolutionize Client Operations
Artificial intelligence (AI) is a game-changer for financial advisors who want to run their businesses more efficiently, and without neglecting the client experience. One of the latest innovations involves the use of AI agents to handle client-facing tasks that aren’t necessarily reliant on human interaction. Luckily, there are several platforms that can help financial advisors… read more…
- 7 Tips for Financial Advisors to Avoid Burning Out
Financial services is a demanding industry, and managing the day-to-day can be stressful, to say the least. When you’re constantly in motion, working both in your business and on it, taking care of yourself may be the last item on your to-do list. Before you know it, you’re staring down a case of financial advisor… read more…
- Guide to AI Notetaker Solutions for Financial Advisors
Artificial intelligence (AI) has numerous uses in the advisory landscape, from financial planning to organizational tasks. Replacing your current note-taking system with an AI note taker for financial advisors can help you capture the most vital details from client meetings without taking your focus off the client. Here’s how these AI note-taking tools work, so… read more…
- How to Create a Successful Client Meeting Agenda as a Financial Advisor
Your time is valuable, and so is your client’s. When it’s time to schedule a meeting, it makes sense to ensure that it runs efficiently, so not one second is wasted. Developing a template or checklist for client meetings can help ensure that you hit the most important talking points. Here’s what you might want… read more…
- Growth Strategies for Independent Financial Advisors
Going independent can mark the beginning of an exciting new phase of your career. You’ll immediately have freedom and flexibility, but what you might need next are clients to help your firm grow. The challenges are real: You may have less money to pour into your marketing budget, fewer labor resources to rely on, and… read more…
- Client Onboarding Service Solutions for Financial Advisors
Offering new clients a seamless onboarding experience helps build trust and sets a positive tone for the future of your professional relationship. Partnering with an onboarding specialist or platform can help you develop a streamlined process that welcomes new clients into the fold with minimal stress. Read on to learn more about client onboarding solutions… read more…
- RIA Custodian Comparison Guide for 2025
Registered investment advisors (RIAs) are generally required by the Investment Advisers Act of 1940 to have an independent custodian hold client assets. This requirement is designed to protect clients, but advisors have some leeway in deciding which custodian they want to use. Conducting an RIA custodian comparison can help you evaluate the options for your… read more…
- Estate Planning Intake Form Template for Financial Advisors
Estate planning can be a valuable addition to your firm’s scope of services, enabling you to increase wallet share with existing clients or attract prospects who need professional planning advice. An intake form or questionnaire is a straightforward way to collect the information you need in order to help shape their plans. Here’s how to… read more…
- 5 Sales Strategies for Financial Advisors
Financial advisors rely on sales strategies to close the deal, but success is not measured in conversions alone. Your firm’s growth also hinges on your ability to nurture genuine relationships with your clients, meet them where they are and deliver superior service that exceeds their expectations. Sales and service are intertwined, and the advisor who… read more…
- 20+ AI Tools Financial Advisors and Planners Could Leverage
Artificial intelligence (AI) is making its mark on the financial services industry. From content creation to portfolio management, there are an abundance of AI tools for financial advisors that you can consider. If you’re ready to explore the possibilities of AI for your practice, you can start by researching which tools you might consider adding… read more…
- How to Streamline Client Portfolios
Managing client portfolios can take up a significant part of your day when you’re spending time researching investments, running model scenarios and scheduling trades. That may leave you fewer hours each week to meet with clients or dedicate to prospecting and marketing. Streamlining client portfolio development and management processes can help you get some of… read more…
- Smartria vs. RIA in a Box: What’s the Difference?
Compliance software can simplify the way you run your business while saving you valuable time. And Smartria and RIA in a Box are two popular compliance platforms for registered investment advisor firms of all sizes. Both offer a comprehensive suite of features and services, but there’s more to determining which one could be the right… read more…