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Summary The SEC is keeping an eagle eye on RIAs who overcharge their clients or incorrectly bill them.
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Summary: Years ago, in a meandering conversation on what advisors need to be successful, the successful advisor and author Susan Hirshman caught me up short by telling me that it’s only one thing that advisors want and need to be successful: new, good clients.
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Summary: Years ago, when I worked as a financial advisor at a major brokerage firm, we learned highly sophisticated ways to analyze clients’ investment ideas so we could consistently tell them “no.”
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Summary: If you are an independent financial advisor looking to find an untapped pool of retirement-ready prospects, look no further than social media marketing, and specifically, advertising on Facebook. It offers a unique set of values to financial advisors unlike any other online or offline marketing platform available today.
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Summary: Innovation is the key to success in a rapidly evolving financial services market. But with the rise of new products and delivery platforms, advisors face competition from low-cost robo-advisors and automated turnkey solutions. Advisors also are confronting a generational shift and, as baby boomers enter the drawdown phase, advisors must reach out to a new generation of clients with different needs and preferences.
