Advisor Resources

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…

September 28, 2026The 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…

April 15, 2026If 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…

September 13, 2026The 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, including Rule 206(4)-2. Known as the custody rule, it outlines RIA duties regarding holding client assets. The SEC takes this rule seriously; as recently as January 2026, two advisory… read more…

September 9, 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, and violations can result in significant consequences. During the 2025 fiscal year, the SEC filed 456 enforcement actions to address advisor misconduct, resulting in monetary… 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…

July 16, 2026Shopping 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…

July 9, 2026Completing a Ph.D. in financial planning can prepare you for a career in research, teaching at the university level or consulting. However, earning a doctorate in financial planning or a related field requires a significant commitment of time and money. And unlike master’s and bachelor’s degrees and advanced professional certifications, it may not do much… read more…

August 24, 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…

September 10, 2026Artificial intelligence is no longer a future concept in financial advice; it’s already changing how advisors work every day. A May 2026 Edward Jones survey found that 82% of advisors are using AI in their practice in some capacity, and 69% say AI has had a positive impact on the industry. From streamlining research to… read more…

May 19, 2026Niching down is one of the most effective ways for financial advisors to differentiate their practices 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 narrower… read more…

July 22, 2026The 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, mutual funds, securities exchanges and registered investment advisors (RIAs). To register with the SEC as an investment advisor, firms must file Form ADV through the IARD system, pay… read more…

June 11, 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…

July 31, 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. But artificial intelligence is changing the way people find information online,… 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 11, 2026Expanding your advisory business often means expanding your team to handle the uptick in clients, though that isn’t always easy to do. In a 2025 Financial Services Institute survey, nearly 43% of advisors said finding qualified candidates was their biggest challenge in hiring, while approximately a quarter of advisors cited managing compensation and benefits costs.… 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…

February 10, 2026Obtaining the 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…

January 30, 2026Social media can be a powerful tool for marketing your advisory business. With billions of users, platforms like Facebook, Instagram, YouTube and TikTok can offer access to a built-in audience of people who may be seeking out professional financial advice. An effective social media marketing strategy starts with identifying your niche and who you want… read more…

April 22, 2026Referrals are a sign of trust in your business, and they’re one of the top drivers of growth for financial advisors. In a 2024 Broadridge survey of 400 financial advisors, 46% of professionals polled said referrals and word of mouth were a top marketing channel.1 Understanding where strong referrals come from can help streamline business… read more…