What Can RIAs Expect from a System Conversion? – Part 1

By Joan Walker, Managing Director, UNAPEN on Thursday, June 18th, 2015

Joan Walker, Managing Director, UNAPEN

Your wealth management firm has just spent months looking into new systems, narrowing the field of options, negotiating terms and agreements and finally you are at the end of the process. You have chosen a new system! Congratulations, you’re done, you can leave it in the vendor’s hands to bring in the new system and all will be right with the world. WRONG – this is only the beginning, let’s see why...Read More »

The Challenge of Becoming Paperless

By Sheryl Rowling, CEO, Total Rebalance Expert on Wednesday, June 17th, 2015

Sheryl Rowling, CEO, Total Rebalance Expert

I frequently refer to my firm as a paperless office. All documents are stored online or PDF'ed on our CRM system. Tax returns are filed electronically. We receive clients' documents through our secure link. Yet we still purchase yellow pads...Read More »

Why Your Clients Can’t Distinguish You from Other Advisors – and What to Do About It

John Anderson, Managing Director, SEI Advisor Network

Real planning takes time, focuses on goals, and reports on progress to goals. It also takes communication of the short term and long term benefits. Can your client clearly articulate your process? Can you show them?..Read More »

Butts in Seats: How Advisors Can Use Social Media to Get Prospects to Your Events and Referrals to Your Office - Part 2

Amy Sitnick, Senior Marketing Manager, SEI Advisor Network

If you’re planning your next seminar or educational event, and want to get a few more bodies in the room, follow the steps below. But first – make sure you have a page on your website to direct your traffic to with the date, location, purpose and RSVP details...Read More »

Butts in Seats: How Advisors Can Use Social Media to Get Prospects to Your Events and Referrals to Your Office - Part 1

Amy Sitnick, Senior Marketing Manager, SEI Advisor Network

If you were to ask many top advisors, they would say that they don’t use social media. And when asked about top ways to grow their business, they regularly cite referrals and events...Read More »

The Kids in the Hall and Networking Events

By Bill McGuire, Principal, W.M.McGuire, LLC on Thursday, June 4th, 2015

Bill McGuire, Principal, W.M.McGuire, LLC

Networking events are great marketing activity for financial advisors, they work best when you ‘plan your work’ and then ’work your plan’...Read More »

How Financial Advisors Can Effectively Deal With Difficult People

By Beverly Flaxington, Principal, The Collaborative on Wednesday, June 3rd, 2015

Beverly Flaxington, Principal, The Collaborative

If you work in the financial advisory business, chances are you have to deal with difficult employees, partners or even prospects and clients...Read More »

Your Back-Office Decisions Also Require Due Diligence

Susan Glover, President, Susan Glover & Associates, LLC

Before making a decision based on a great sales pitch or time constraints, remember that due diligence also applies to your back-office...Read More »

Sustain Your Future with Long Term Care

Kellan Goldberg, Managing Director, Insurance Decisions

Many clients recognize the benefits of using life insurance as an investment, but they can be sold on this premise with optimistic assumptions - which are often at odds with reality...Read More »

NASAA Issues Model Role for Continuity and Succession Planning

Peter McGratty CFA, VP Business Development, Pinnacle Advisor Solutions

On April 13th, the North American Securities Administrators Association (NASAA) issued its model rules for continuity and succession planning...Read More »