Advisor Resources

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…

March 24, 2026Having the right technology can be critical to a registered investment advisor’s success. However, knowing what to include in an RIA tech stack may take some thought and planning to ensure you have the right tools to meet your needs. This guide offers some helpful suggestions on what to include, along with tips for 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…

March 31, 2026A well-crafted value proposition can make a huge difference in helping understand where your financial advisory firm is headed. It 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… read more…

February 5, 2026A financial advisor 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… read more…

March 3, 2025Reverse 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…

March 3, 2025Starting a hedge fund requires more than just an impressive track record of consistently beating the market. There are registration and regulatory requirements that you’re expected to meet to ensure your fund is operating legally. You’ll also need sufficient capital and a strong support team to help pull it all together. If you’re interested in… read more…

January 9, 2026The financial services world moves fast, and staying informed can mean the difference between keeping up and falling behind. For financial advisors, access to reliable, insightful publications is not just helpful, it is essential. The right magazine can provide market analysis, regulatory updates, practice management tips and professional development opportunities all in one place. Whether… read more…

February 11, 2026Volatility drag quantifies the negative impact that volatility has on the compounded returns of an investment over time. Sophisticated investors and financial professionals may be familiar with this complex concept, but relatively few ordinary investors encounter it. Volatility drag can have a significant effect on the performance of any portfolio, especially over extended periods of… read more…

March 3, 2025Entering the field of financial advising can be lucrative, but earnings vary widely depending on factors like education, certification, firm, location and clientele. Experience is one of the most important drivers of financial advisor compensation, with veteran advisors typically able to bring home several times the earnings of newcomers to the field. Understanding the salary… read more…

March 3, 2025The Securities and Exchange Commission allows certain companies to sell stock to a select number of investors without having to go through the IPO process. This is done under a Regulation D exemption, which lets companies that meet specific requirements raise capital without having to submit to an extensive and costly registration process that is… read more…

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…

February 10, 2026Certified Financial Planners™ are subject to continuing education requirements in order to maintain their certification. Specifically, they’re required to complete 30 hours of continuing education every two years, which includes two hours of study in the area of ethics. The total number of CE hours required will increase to 40 in 2027. CFP® professionals can… 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…