- How to Grow Your Financial Advisor Business
Building a thriving practice takes planning, dedication and, sometimes, just a little luck. When it comes to how to grow your financial advisor business, the fundamentals include actively building your brand, optimizing your marketing efforts and delivering a superior client experience. That being said, there are some strategies you can implement that can help you… read more…
- Guide to Cross-Border Investment Banking and Financing
Cross-border investment banking and financing represent one of the most complex yet potentially rewarding areas of finance. When companies seek to expand internationally, access foreign capital markets or engage in multinational mergers and acquisitions, they enter a landscape filled with unique challenges and opportunities. From understanding regulatory differences and currency exchange risks to structuring deals… read more…
- How This Financial Advisor Used SmartAsset to Build a Pipeline of Clients and Add $100M in Reported AUM
While some advisory firms may overlook clients with little to invest outside of their retirement plans, Matt Scarborough and Oak Wealth Partners see opportunity. Located 60 miles south of Washington D.C., Scarborough’s firm has found notable success serving mass affluent clients—many of whom are federal workers—whose wealth is largely concentrated in the Thrift Savings Plan,… read more…
- 20+ AI Tools Financial Advisors and Planners Could Leverage
Artificial intelligence (AI) is making its mark on the financial services industry, and adoption rates are steadily growing. Among retail advisors, 24% are daily AI users and just 22% avoid AI completely, according to a 2025 meta-analysis from Horsemouth.1 From content creation to portfolio management, there are many AI tools for financial advisors to consider.… read more…
- 5 Ways to Ask and Pay for Referrals as a Financial Advisor
Referrals make getting on a prospect’s radar easier, and delivering a superior client experience can help you generate them organically. If they come to your firm in a trickle rather than a flood, however, it may be a good idea to master the art of the ask. Just under a third of advisors proactively ask… read more…
- How to Build a Strong Referral Program as a Financial Advisor
Referrals can be a key driver of growth for financial services professionals. Among top-performing firms, more than half have a documented referral plan for existing clients, while 38% have a similar plan for obtaining referrals through centers of influence, according to Schwab’s 2026 RIA Benchmarking Study. Firms with documented programs generate 1.5 times more new… read more…
- How to Find a Marketing Coach for RIAs
Marketing is an important part of business planning and development for RIAs, but getting it right can be challenging. Keeping up with evolving trends is enough to make your head spin, and what attracted clients yesterday isn’t always guaranteed to work tomorrow. Working with a coach can help you tighten up your marketing game for… 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…
- RIA in a Box Compliance Software Review and Pricing 2026
Managing your firm’s compliance requirements can be time-consuming, and if you’re ready to simplify, a software solution could be the answer. RIA in a Box, now COMPLY, is a popular compliance platform for busy advisors who want to free up more hours in their day to serve existing clients and attract new ones. What does… read more…
- Smartria Compliance Software Review and Pricing
Compliance is a central part of operating a successful advisory practice, but the time it requires can shift attention away from client service and growth initiatives. If you’d like to spend more of your day prospecting and serving clients, and less time worrying about compliance, software may be the answer. Smart RIA offers compliance solutions… read more…
- How to Target Specific Client Asset Amounts as a Financial Advisor
Increasing assets under management (AUM) is a common goal for growth-focused advisors. Targeting prospects in specific asset ranges could help you expand your book of business and potentially boost your firm’s AUM. Defining your ideal client, developing personalized marketing strategies and tailoring your advice may give you a competitive advantage. SmartAsset’s Advisor Marketing Platform (AMP)… read more…
- How to Grow Without a Referral Network as a Financial Advisor
A referral network, whether it features other financial services professionals or current clients, can be a powerful growth driver for advisors, but it’s not a requirement to scale. Advisors can attract new clients through a combination of SEO and AEO strategies, social media and email marketing, digital ads, as well as educational events tailored to… read more…
- Where to Find Coaching as a Financial Advisor
You want to scale your business and become the advisor prospective clients line up for, but you’re unsure how to achieve your goals. Maybe you’ve heard about coaching for financial advisors and are wondering how it may benefit you. In 2023, 46% of advisors reported working with a coach and the vast majority of them… read more…
- How to Get Estate Planning Clients as a Financial Advisor
Adding estate planning to your slate of services can be an effective way to scale your business. Not only is it possible to provide more value to your existing clients, you may attract new ones to your firm, as well. A variety of possibilities exist when it comes to how to get estate planning clients… read more…
- 12 Estate Planning Questions to Ask Your Clients
Offering estate planning services can increase the value you bring to your clients and help you scale your business more effectively. According to Trust & Will’s 2026 Financial Advisor Report, 61% of Americans say advisors should include estate planning in their services, with 37% calling it “essential” to a comprehensive financial plan. When you have… read more…
- ‘It Wasn’t Just Luck’: How This Advisor’s Firm Added $14M in Reported AUM With Consistent Approach Using SmartAsset
When Robert Tutela seeks out new clients, he doesn’t solely focus on wealthy prospects with seven figures to invest. Landing million-dollar-accounts is great, but it’s not the only path to success as a financial advisor, says Tutela, an advisor and portfolio manager at Essex, LLC in Illinois. “I’ve always been of the mindset, if you’re… read more…
- How to Conduct an Annual RIA Compliance Meeting
The Securities and Exchange Commission (SEC) imposes rigorous compliance rules on registered investment advisors (RIAs). In addition to developing written compliance policies, you’re also expected to hold and document an annual compliance meeting. If you’re a newly established RIA, a little preparation can make the process of conducting this meeting a smooth one. SmartAsset’s Advisor… read more…
- How to Conduct a Mock Compliance Audit for Your RIA
Registered investment advisors (RIAs) are subject to examination by the Securities and Exchange Commission (SEC) and/or state regulatory agencies. These exams, which are intended to ensure that RIAs consistently meet compliance requirements, take place approximately every seven years according to internal SEC data.1 The SEC prioritizes newer firms that have never been examined in determining… read more…
- Client Service Agreement Template for Financial Planning
Taking on new clients is an exciting prospect when you’re focused on growing your financial planning business. Drafting a client agreement is an opportunity to set expectations and clarify what services you’ll provide. Developing a new document each time you onboard a client is unnecessary if you’re using a template that you can easily customize.… read more…
- Using Email Blasts for Prospecting as a Financial Advisor
Email is a powerful marketing strategy for advisors, offering a direct connection to the people you want to reach with your services. Once someone subscribes to your email list, typically in exchange for receiving your lead magnet, you have an opportunity to cultivate relationships, build trust and convert prospects to clients. Email newsletters are one… read more…
- How to Build a Quarterly Newsletter as a Financial Advisor
Email marketing can be an effective way to build engagement with clients while keeping them updated on the latest trends and happenings within your firm. In fact, 38% of high-growth advisors include newsletters as part of their content marketing plan, according to a 2026 Kitces report on how advisors market their services.1 Choosing the right… read more…
- Free Email Templates for Financial Advisors
Email marketing can be a game-changer for your advisory business, whether you’re using drip campaigns to nurture leads or sending weekly newsletters to boost client engagement. The challenge is finding the time to craft the perfect email when you’re busy tackling everything else that goes into running your business. If you’re looking for a simpler… read more…
- Comprehensive Guide to Branding for New RIAs
A strong brand can help a new registered investment advisor firm show prospects what it stands for before the first conversation. Branding communicates who you are, what you do and perhaps most importantly, what you value when serving your clients. How much attention do advisors pay to this aspect of their marketing? Just 20% of… read more…
- How to Talk to Your Clients as a Financial Advisor
Good communication is the foundation of a strong advisor-client relationship. Your clients want to hear from you and, more importantly, they want to feel that their needs and concerns are being heard. According to CapIntel’s 2025 Investor Engagement Survey, 46% of clients say they’ll look elsewhere for advice if their advisor doesn’t communicate clearly. Making… read more…