- How Financial Advisors Can Build a Referral Network
Building a referral network is an effective way for financial advisors to grow their client base. Referrals often come from satisfied clients, but they can also be nurtured through relationships with other professionals, such as attorneys, accountants and real estate agents. These professionals often serve clients who may need financial advice, making them valuable sources… read more…
- 7 Topics for Financial Advisors to Consider for Their Blog
When crafting a blog, financial advisors should focus on topics that resonate with their target audience. Topics like retirement planning, investment strategies and tax optimization are always relevant, helping clients understand complex financial concepts. Additionally, addressing current events, such as market trends or changes in tax laws, can position the advisor as an informed and… read more…
- How This Financial Advisor Successfully Launched His Career With SmartAsset
TJ Tamura is still in the early stages of his career as a financial advisor, but he’s already learned a valuable lesson about converting leads into clients: focus on educating the client, not selling them. Tamura joined Capitol Planning Group in Sacramento, California, as a financial advisor and retirement planner in 2022 after exploring several… read more…
- How to Use Generative AI to Grow Your Wealth Management Firm
There are numerous possibilities for using generative artificial intelligence (AI) in the wealth management space, ranging from back-office operations to financial planning. Adopting generative AI for wealth management can deliver value through increased efficiency, time savings and reduced costs. Ready to grow your client base? SmartAsset AMP helps you connect with leads. Understanding Generative AI… read more…
- How to Scale and Grow Your RIA Firm
Scaling a registered investment advisory firm takes more than just strong portfolio management—it demands deliberate growth strategies across multiple fronts. According to the 2025 Investment Adviser Association, 68.5% of RIAs have less than $1 billion in assets under management, while nearly 93% have fewer than 100 employees. To grow, firms often invest in technology, refine… read more…
- How AI Notetaking Can Help Financial Advisors Better Serve Clients
Artificial intelligence (AI) is a transformative tool that’s seeing widespread adoption in many industries, including financial services. AI notetaking apps are one of the latest innovations that advisors are using to improve the flow of their meetings and better serve their clients. AI notetakers can save time, reduce errors and increase efficiency in your practice.… read more…
- Client Acquisition vs. Retention for Financial Advisors
Client acquisition and client retention are two sides of the same growth coin. For your advisory business to thrive, you need a base of loyal clients as well as a solid strategy for acquiring new ones. When you have limited time and resources to devote to growth, it’s important to understand how to strike the… read more…
- How to Get Certified as a Financial Coach
Financial coaching is all about helping people get a better handle on their finances and improve their relationship with money. Professional credentials are not a requirement for launching a career as a financial coach, but getting certified could give you a competitive edge. If you’re interested in a financial coaching certification program, there are several… read more…
- What Is the Financial Modeling & Valuation Analyst (FMVA) Certification?
Financial modeling certification is something you might consider if you’re interested in private equity, investment banking or a related field. The Corporate Finance Institute offers the Financial Modeling and Valuation Analyst (FMVA) certification to interested professionals who want to develop their modeling and valuation skills. Like other financial certifications, you’ll need to meet education and… read more…
- Comprehensive Guide to Certifications for Financial Analysts
The job outlook for financial analysts is fairly bright, with an estimated 8% growth rate through 2032. Obtaining professional certifications can enhance your knowledge and potentially boost your earning potential in a competitive job market. Evaluating the options for financial analyst certification can help you determine which credentials may prove most beneficial for you. Let’s… read more…
- Cyber Security Tips for Financial Advisors
Cyber security isn’t just something tech firms need to pay attention to; it’s important for financial advisors and the financial services industry, as well. Clients’ sensitive data is a tempting target for hackers seeking financial gain, making constant vigilance a must. Here are some cyber security tips that can help you build a solid line… read more…
- KPIs Every Financial Advisor Should Know
Key performance indicators, or KPIs, measure how well your firm is doing in terms of meeting goals. At a glance, KPIs can tell you whether your firm is moving in the right direction or veering off-track. On a deeper level, these indicators are helpful when it comes to developing strategic plans for the sustainability and… read more…
- Lead Magnet Strategies for Financial Advisor Firms
Lead magnets are a powerful, yet often underutilized, tool capable of grabbing the attention of prospective clients. A lead magnet is something you offer to prospects in exchange for their email address or other contact information. Financial advisor lead magnets take different forms. And as they can help you build out your list, it’s helpful… read more…
- Public Relations Strategies for Financial Advisors
Mastering public relations is something financial advisors can benefit from at every stage of their career. A good PR strategy can elevate your brand’s image, underscore your credibility and strengthen client relationships. PR is more than just part of a comprehensive marketing plan – it’s an integral piece of your business development puzzle. Ready to… read more…
- Fiduciary Duty Checklist for Retirement Plans
Meeting the fiduciary duties of a retirement plan is important for both advisors and clients. Fiduciaries have the obligation of serving the best interests of their clients. And a fiduciary checklist can help you meet those legal and ethical standards, manage risks and safeguard the financial well-being of your clients. Ready to grow your client… read more…
- Financial Advisor Client Transition Letter Example
When introducing a client to a new advisor, a well-crafted financial advisor client transition letter can help guide the process. This letter serves as a formal notice to the client, informing them of the change and introducing them to the new advisor. SmartAsset’s Advisor Marketing Platform offers financial advisors services like client lead generation, automated… read more…
- 7 Reasons to Go Independent as a Financial Advisor
Breaking out on your own as an independent advisor can offer many benefits. For one, there is greater autonomy in decision-making without the constraints of corporate policies, plus the flexibility to build a brand and business that aligns with your personal values and vision. Another big upside is the potential for increased income. Independent advisors… read more…
- SEC Regulatory Filing Deadlines for Financial Advisors
Registered investment advisors are subject to SEC rules, and there are several important regulatory deadlines to be aware of. These deadlines determine when specific forms must be submitted to the SEC to meet compliance requirements. Are you wondering: When is Form ADV due? What’s the deadline for filing annual cybersecurity disclosures? Below is a list… read more…
- 10 Sales Books That Can Help Financial Advisors Grow Their Firms
Navigating the sales landscape can be a difficult part of being a financial advisor. You need to build rapport with clients and engage them where they are, while being prepared to respond to rejections. Closing a deal requires transparency, honesty and a lot of patience. Soaking up knowledge from sales books can help you fine-tune… read more…
- How to Form a Partnership as a Financial Advisor
For growth-focused advisors, partnerships can be the secret to success. Whether you’re interested in bringing another advisor into your firm or forming strategic alliances that could help meet your clients’ needs, there are benefits to building collaborative relationships. But forming a financial advisor partnership requires strategy and planning to ensure that it’s a good fit.… read more…
- Prospecting Strategies for Financial Advisors
Effective prospecting is crucial for financial advisors aiming to expand their client base. There are a number of prospecting strategies for financial advisors to try, such as leveraging personal and professional networks and utilizing digital marketing. Advisors might also consider partnering with other professionals, such as accountants and attorneys, to offer comprehensive financial planning solutions.… read more…
- Tips for Financial Advisors Thinking About Going Independent
Before you decide to go independent, you should evaluate your client base to assess whether they will follow you to an independent practice. You should also take note of the costs associated with establishing your own firm. These can include technology, compliance and office space expenses. You will also want to seek advice from other… read more…
- How Outsourced CMOs Can Help Financial Advisor Firms
Outsourcing a chief marketing officer (CMO) can offer financial advisor firms the expertise to enhance their marketing strategies without the cost of a full-time executive. For example, an outsourced CMO can help you develop targeted marketing campaigns that attract and retain clients. This professional can also provide insights into market trends, helping firms stay competitive… read more…
- The Value of Benchmarking for RIAs and Financial Advisors
When you’re focused on your firm’s long-term growth, it’s important to have a process in place for monitoring your progress. Financial advisor benchmarking allows you to draw comparisons between your firm and your competitors, or against the financial services industry as a whole. Knowing what to measure and how to do so can help you… read more…
- Email Marketing Automation Tools That Can Help Financial Advisors
Email automation tools allow financial advisors to streamline client communication, personalize outreach and improve overall efficiency in marketing activities. These platforms automate repetitive tasks like sending newsletters, scheduling follow-up emails and segmenting client lists based on specific criteria. By simplifying these routine processes, advisors gain more time to focus on direct client interaction and strategic… read more…