Practice Management

Resources

• The Best Way to Ask for Referrals? Don't Ask for Referrals

  From Cetera Financial Group

  Positive word of mouth can be your best marketing ally, but it’s not always easy to earn. Discover how a simple adjustment can make a big difference.

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• Tapping Into The Gen Z Opportunity

  From Cavanal Hill Funds

  They may not be in the spotlight now, but Gen Z will soon be taking center stage and you need to be ready to serve these individuals.

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• Wealth Management Firms: Deliver ROI from CRM

  From SS&C Salentica

  A CRM platform is supposed to help your business, but are you getting your money’s worth? Find out how to maximize its potential.

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• The pivotal decision: Choosing your custodian

  From Schwab Advisor Services

  Ready to take the first step toward becoming an investment advisor at an independent RIA firm? Open the door to independence with the right custodian by your side.

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• End-of-Life Planning: Protecting Your Clients' Estates

  From NGL

  Help your clients plan for their future now so final expenses don’t overwhelm their loved ones later.

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• Five Rules for Investing During the Coronavirus Outbreak

  From T. Rowe Price Investment Services, Inc.

  Pitfalls to avoid and opportunities to seek.

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• Regulatory Updates: Top 10 FINRA and SEC Violations and Penalties

  From Smarsh

  Get important lessons from 2019’s most impactful compliance violations to help you keep pace with the changing regulatory environment.

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• Help your clients ride out market volatility -- with confidence

  From Lincoln Financial Group

  Use this conversation starter to explain why it’s so important to stay invested -- in good times and bad. Plus receive strategies to help clients keep their retirement goals on track, even as they become more sensitive to risk.

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• COVID-19 Client Communication Toolkit

  From Cetera Financial Group

  Access tools that can help you communicate well across your entire network during this pandemic.

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• How to Supervise Your Suddenly Remote Broker-Dealers & Investment Advisors

  From Smarsh

  In this challenging new environment, it’s important to understand your supervisory obligations to your workforce.

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• 5 Steps to Compliance in an Evolving Mobile Landscape

  From Smarsh

  More of your employees are using mobile phones and apps for work than ever before and you must ensure you have the right tools in place to collect and protect data.

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• Navigating Market Volatility and Retirement

  From Franklin Templeton

  Targeted news and analysis focusing on how advisors can help their clients effectively manage this unusually difficult market uncertainty and key retirement issues.

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• Global Equities: Embracing Uncertainty

  From T. Rowe Price Investment Services, Inc.

  Using our knowledge, experience, and resources to find the best outcome for clients.

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• Direct Indexing: An Essential Part of Your Model Portfolio for the Mass Affluent

  From Just Invest

  Discover why the mass affluent should be your focus and how you can give them what they want through direct indexing.

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• Connect, Teach, Grow: The Hidden Business Potential of Financial Education

  From Cetera Financial Group

  Have you approached your business-owner clients about helping educate their employees about finances? Discover why you should!

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• Power Your Firm's Value Proposition with a Financial Planning Strategy

  From Orion Advisor Technology

  Help your clients understand the many benefits of financial planning by implementing a powerful marketing strategy around your financial planning offering using our guidelines and best practices.

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• Understanding Millennials, Your Largest Pool of Prospective Clients

  From Cavanal Hill Funds

  This crucial demographic continues to become more important as Baby Boomers get older. Discover what you need to do to effectively reach the Millennial generation.

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• Exploring Your Path to Independence

  From Fidelity Investments

  Transform for the future.

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• Utilities: A Potential New Growth Sector

  From T. Rowe Price Investment Services, Inc.

  The rise of renewable energy is transforming the industry.

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• What you need to know about the RIA channel

  From Schwab Advisor Services

  There's a reason more and more advisors are choosing independence.

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• Discovering the hybrid RIA model

  From Schwab Advisor Services

  For advisors wishing to maintain both a brokerage and advisory business, the hybrid RIA model may be an ideal path forward.

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• The RIA Roadmap: Key steps to going independent

  From Schwab Advisor Services

  Are you ready to go independent? Thousands of advisors have made the transition. Join them with this how-to guide.

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• The RIA model has momentum for a reason

  From Schwab Advisor Services

  Elite teams are searching for a better way of doing business -- and they're finding answers in the RIA channel.

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• Explore the varying levels of independence

  From Schwab Advisor Services

  Are you interested in being a teammate or an owner? Learn more about the varying levels of independence in this guide.

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• Five business models for the modern RIA

  From Schwab Advisor Services

  If you're interested in the freedom and control that come with becoming an RIA, discover these five unique paths you can take to independence.

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• Going independent with the hybrid RIA model

  From Schwab Advisor Services

  The hybrid advisor model offers the best of both worlds to those wishing to maintain a commission-based business while building an advisory practice.

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• Looking Beyond Negative Yields

  From T. Rowe Price

  Globally diversified bonds still play a key role in portfolios.

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• Respond to the Changing Mobility Landscape

  From Smarsh

  As your employees and clients rely more on mobile technology and apps, make sure you focus on what’s happening now, not yesterday.

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• Electronic Communications Compliance Survey Report

  From Smarsh

  Glean key insights from a survey of industry compliance professionals regarding Electronic Communication Compliance (ECC) to inform your organization’s strategy regarding communication tools.

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• 3 Ways to Nail Down Your Niche

  From Cetera Financial Group

  Casting a wide net when prospecting makes sense in theory, but this method doesn’t necessarily translate into actual clients. Find out why not.

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• 3 Keys for Creating an Experience-Centric Business Model

  From Cetera Financial Group

  Do you know the difference between client experience and customer service? The answer is crucial.

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• 2020 Global Market Outlook: Comfortable with the Uncomfortable

  From T. Rowe Price Investment Services, Inc.

  The “reflation trade” appears real, but risks are still elevated.

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• The Financial Firm's Guide to Compliant Text Messaging

  From Smarsh

  Learn how you can use text messaging to communicate while minimizing your firm’s compliance, legal, and reputational risk.

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• Choose the Firm That's Right for You

  From LPL Financial

  Use this helpful scorecard to make sure you are partnering with a broker/dealer that will give you the best support for long-term growth.

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• Finding You 2.0--Planning for a Successor

  From Cetera Financial Group

  Your clients not only expect you to plan for their futures, but for yours as well. Do you have a succession plan in place?

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• Secular Risk Creates New Opportunities in High Yield Bonds

  From T. Rowe Price Investment Services, Inc.

  Get insights on how changes to the high yield bond market can create new opportunities for you and your clients.

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• The 3 Most Effective Strategies to Help Grow Your Practice's Value

  From LPL Financial

  Get an in-depth look at how you can lock in future value through proven tactics that will grow your bottom line.

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• Are You Part of The 29%?

  From Cetera Financial Group

  You may be missing out on opportunities presented by your clients’ heirs. Learn about four key areas you should focus on.

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• Regulatory Update: Roundup of 10 Recent FINRA and SEC Violations and Penalties

  From Smarsh

  Review these scenarios to make sure you avoid FINRA & SEC penalties.

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• After The Boomers: Shifting Your Focus to New Generations and Gender

  From Cavanal Hill Funds

  The generation that controls 80 percent of personal finances is set to retire; thus, you need to find ways to connect to new types of clients.

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• Build Your Business Like a Boss: Grow Your Practice Without Compromising on Service

  From LPL Financial

  Find out how your practice can grow and thrive without sacrificing the quality, personalized service your customers are accustomed to.

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• Gen X: The Advisor's Forgotten Opportunity

  From Cavanal Hill Funds

  Gen X isn’t officially known as “the forgotten generation,” but perhaps it should be. Learn how you can tap into the potential of this group.

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• You've Got a Website -- Now What?

  From Cetera Financial Group

  Discover how to reach a new generation of clients through high-touch, low-effort marketing efforts.

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• Transitioning Your Business: What You Need to Know

  From LPL Financial

  The decision to move to a new broker/dealer can be difficult, but it doesn't have to be.

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• Measuring the ROI on Advisor Designations

  From Cetera Financial Group

  Getting an advanced designation or certification takes a lot of effort. Get insights on if it’s really worth your while.

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• When Your Clients Are Working Against You

  From Cetera Financial Group

  Learn about six pitfalls your clients may be susceptible to -- and how to overcome them.

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• Best Practices for Stopping Communication Risk In Its Tracks

  From Smarsh

  New communication tools can open up your firm to risk and prohibition is not prevention. Learn five key practices you should implement now.

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• Prospecting Essentials: Client Acquisition Strategies To Increase the Longevity and Profitability of Your Book of Business

  From Cetera Financial Group

  Your long-term clients may already be entering retirement and withdrawing the assets you’ve been managing for them. Now is the time to target younger clients before it’s too late.

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• The Financial Advisor's Guide To Social Media Strategy and Policy

  From Smarsh

  Using social media effectively, while remaining compliant with key regulations, can be tricky. But it’s a necessary step you must take to build your business.

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• 5 Ways to Make Your Financial Advice Irreplaceable

  From Cetera Financial Group

  Use these tips to effectively show your value and increase the stickiness of your client relationships.

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• The Financial Advisor's Guide to Compliant IM and Collaboration

  From Smarsh

  Instant messenger makes it easier to communicate, but also runs the risk of violating regulations if you’re not careful. Learn how to connect, yet still remain compliant.

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• The Field Guide to Recordkeeping Worst Practices

  From Smarsh

  It’s easier to just close your eyes to the risks modern technologies can create, but you must not let your firm continue to follow risky routines.

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• Guide to Compliant Productivity: Have Your Cake and Eat It Too in a Post-Email World

  From Smarsh

  You can remain compliant while still taking advantage of modern tech tools to help you be more productive. Find out how!

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• Why Compliance Officers Should Say 'Yes' To Text

  From Smarsh

  The new generation of clients and employees want to communicate through text messaging. Learn how your firm can make changes to accommodate this preference.

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