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Personal compliance: Your social media needs to pass this important test

May 31, 2019

The inspiration for this column comes from Game of Thrones. Now there's something I never thought I'd type. The funny thing is I've never seen the show. And don't worry about spoilers, as I don't plan to watch it. But the problem as it relates...

Overcoming reservations about converting to investment models

May 30, 2019

With few exceptions, advisers today should be using investment models, which save time, improve processes and allow them to spend more time with clients, all of which directly correlates to higher profits. Many advisers will scoff at that, believing...

Selling your firm, even if you've never thought about it

May 29, 2019

Even if you've never thought about selling your financial planning firm or practice before, now's the time to familiarize yourself with the landscape. Just look at what's going on in our industry: Goldman Sachs is buying United Capital. Ric...

What to do when your marketing campaign isn't really a campaign

May 28, 2019

You're a financial adviser with a new case study or an event to promote, and you're planning a marketing campaign. You write a killer Facebook post and shoot it out to all your followers. Now it's time to sit and wait for the engagement, calls...

Sometimes a sale is the best succession plan

May 28, 2019

When Kara Duckworth and her father Michael Duckworth began looking for ways to transition ownership of the advisory firm they launched in 1998, selling the business was not what they had in mind. "We were originally going to do an internal succession...

Redtail isn't the only firm with cybersecurity issues

May 28, 2019

Redtail Technology is the latest firm dealing with the fallout of a cybersecurity issue, but it likely won't be the last. In an email sent to advisers last week, Redtail blamed its leak on systems that inadvertently stored investors' personal...

Winning in a crowded field

May 28, 2019

On May 16, we announced the sale of United Capital to Goldman Sachs. While I will one day write about what we learned in the process, and what we have in store for the future, it's prudent to wait until we have gone through the client consent...

Legg Mason cuts 12% of staff in revamp as investor Peltz joins board

May 24, 2019

Legg Mason Inc. is cutting 120 people, or about 12% of its staff, and streamlining its executive committee just days after adding investor Nelson Peltz to its board. The cost-cutting steps are "critical to our ongoing growth," Joseph Sullivan,...

Dealing with widows requires empathy and patience

May 23, 2019

I often write about the need to protect clients from the financial risks of living too long, but last week I was reminded that not everyone is blessed with long life. My husband Mike decided to accompany me on a trip to Chicago last week for...

4 top surprises from the new tax law

May 22, 2019

We recently completed the first tax season following passage of the Tax Cuts and Jobs Act. There were sweeping changes, and most taxpayers — and their advisers — experienced many unforeseen surprises. Rather than lament, we should learn...

Calm in the storm: How advisers can combat emotional investing

May 21, 2019

In today's society, news breaks on a 24/7, nonstop cycle and the stock market can shift at the drop of a hat. Now that everyone has unlimited access to news at their fingertips, people can find out what's happening around the world in a matter...

Why our firm hired a data geek instead of another financial adviser

May 21, 2019

Data-driven organizations are 23 times more likely to gain customers, six times more likely to retain customers, and 19 times more likely to be profitable as a result, according to the McKinsey Global Institute. In my nearly 20 years of working...

Best clients put meaningful guidance and exceptional service at top of adviser must-haves

May 17, 2019

Being able to provide expert guidance and outstanding service are two key deliverables that the most sought-after wealthy investors demand most from advisers, according to research from the Investments & Wealth Institute. (More:​ High-net-worth...

Building a "fortress P&L" that can get firms through a market downturn

May 16, 2019

After a long period of market growth, are advisory firms protected if the market were suddenly to go through another downturn? How can you tell if your firm is one that could be in trouble? What do you need to do to turn your firm's P&L into...

5 tactics to improve client retirement readiness

May 15, 2019

Five common things are preventing people from being ready to retire, according to Morningstar Inc. director of behavioral science, Sarah Newcomb. Ms. Newcomb explained the key factors and research behind them at the InvestmentNews Retirement...

The world is flat — and some people like it that way

May 15, 2019

Last time in this space I stirred the pot a bit by calling out the uneven "progress" of wealth management firms on adopting better productivity and embracing demographic realities — especially the rising importance of women clients and the...

Controlling your Google search results may not be enough

May 14, 2019

My financial planning firm gleans more than 50% of our new client leads from Google search alone. How does this happen? For the most part, people head to Google and type in terms like "San Diego financial planner" or "financial advisor in San...

Digital is the present and future of adviser marketing

May 14, 2019

If you're an adviser, don't ignore the elephant in the room that is digital marketing, or you might find yourself struggling to survive. In our industry, clients leave for other firms, they take distributions and they pass away. In short, there's...

The burnout epidemic and what advisers can do to combat it ​

May 14, 2019

There's plenty to keep advisers up at night: fluctuating markets, discussions of Social Security shortfalls, health care constantly under pressure, the ever-evolving standard of client expectations and the changing face of the business itself....

What does a Goldman-owned United Capital mean for advisers?

May 14, 2019

Joe Duran's long-rumored search for additional investment in United Capital Financial Partners seems to be concluding with a sale to Goldman Sachs Group. There are still a lot of questions surrounding the deal's specifics and what it means for...

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