Resource Center

The problem is not new: Finding a way to meet clients’ increasing needs and expectations, while also trying to keep your business costs low. This is difficult, especially if you do not have the benefit of scale. Despite this, your clients need you to take on a larger role beyond simple investment portfolio management, expanding to “life portfolio” management. You must offer guidance in every area of their financial futures, and personalize the client experience so you can retain current clients and attract more prospects.

Download this white paper now to get a better understanding of how to tailor your services for each client. Topics covered  include:

• How a holistic approach makes a huge difference
• Ways to build a long-term, emotional connection
• Finding the time for each client so you can address their needs
• How to avoid being stagnant and evolve with your clients

Discover how to increase your business efficiency so you can devote more time to truly serving your clients with tailored customer service!

Going independent unlocks more flexibility for advisors to serve their clients and grow their businesses. But the Registered Investment Advisor (RIA) channel has become more than a place to break free from traditional advice models. It’s the destination of choice for advisors in search of a better way of doing business - one where advisors and their clients can thrive.

Explore this whitepaper and take a closer look at:

• The growth of the RIA channel
• Benefits of independence
• Differences among five business models for the modern RIA
• Experiences of advisors who chose independence

You'll also receive key questions to ask yourself as you consider each model.

A growing number of  women recognize they need help addressing their financial and investing needs, and statistics suggest this is just the beginning of the explosion of interest. By taking advantage of  new opportunities with female clients, you can jump start your growth in the new year while catering to this key, yet underserved, group. This includes highly-educated Millennials, retirees, widows, and divorcees.

Download this white paper now to get new insights on how to better serve female clients and reach out to new female prospects. You’ll learn how to:

• Understand what’s important to women while looking at their finances
• Drive successful outcomes while working toward their particular goals
• Help women gain financial independence

Act now to unlock the potential of partnerships with female clients and empower them to secure their financial futures.

It is no longer science fiction – artificial intelligence (AI) is now a reality for financial advisors. AI provides data you can use to make predictions and solve problems, and it’s becoming a part of everyday life. If you ignore the opportunities AI provides, you run the risk of missing out on increasing your understanding of clients’ needs and the ability to automate some aspects of client interaction for the better.

Download this white paper now to discover how you can tap into a better way to manage the current data explosion in our industry and use it to your advantage. You will understand how to:

• Bolster human relationships
• Streamline efficiencies
• Avoid and overcome the risks implementing AI can pose to your business

AI does not have to be a scary technology looming over the industry. Learn how to use it as a key tool in propelling your business into the future.

A new generation of investors is changing the financial services industry and adopting digital outreach tools is essential to your survival. Your clients and prospects, particularly Millennials, want advisors who communicate seamlessly across platforms, such as intuitive websites, social media, and interactive portfolio proposals. It’s a demand you cannot ignore.

Download this white paper now to understand why this new attitude toward modern tools is a must and how to embrace it. You will learn more about:

• The power of social media
• How to meet evolving regulatory demands
• Current recommendations for supervising social media

Don’t let the future pass you by as investors find what they are looking for from your competitors. Act now to connect with clients and prospects where they already communicate.

A strategic partnership with the right private equity (PE) firm can provide an injection of cash to accelerate growth of your practice, but if the firm’s main goal is just short-term profits, it can pose potentially significant challenges for your business. With more PE firms continuing to flock to the wealth management space due to the high potential for growth, you must make sure any PE firm you’re considering partnering with has shared purposes and isn’t looking to make a quick exit.

Download this white paper now to understand the impact PE firm investment could have on your business. You will learn about:

• Potential impact on advisor support,
• Higher risk of instability,
• How to protect your bottom line,
• And what other options may be available to help support the growth of your business.

Get the information you need now to ensure any future growth plans for your practice have the best interest of your bottom line and clients in mind.

While your clients typically plan for their financial futures, they often overlook the costs associated with their care needs as they grow older. Your Baby Boomer clients are especially vulnerable at this point and often unprepared. They need you to help prepare them for the reality of aging and the unexpected demands they may face.

Download this workbook now to use as a tool with clients and guide their conversations about long-term care with both their loved ones and you. Topics covered include:

• The facts about long-term care
• Common misconceptions
• The reality of risks
• Critical aspects of a long-term care plan
• And more!

You’ll also receive a checklist your clients can fill out and send back that will help you formulate the proper long-term care plan for them.  Ensure your clients are prepared for the future now!

Lincoln Financial Group is the marketing name for Lincoln National Corporation and its affiliates.

Products, riders and features are subject to state availability. Limitations, exclusions, and reductions may apply. Long-term care benefit riders may not cover all costs associated with long-term care costs incurred by the insured during the coverage period. Accelerated death benefits may be taxable and may affect public assistance eligibility.

For agent or broker use only. Not for use with the public.

LCN-2284601-101818

Some estimates show that about 10,000 Baby Boomers turn 65 each day* and as this key demographic continues to age, their medical and financial needs will keep rising. The surge in the long-term care industry is an obvious reminder that this generation will require more assistance in the days to come. They need you to help them make plans now, because most have not.

Download this infographic to use as a tool with clients that explains 10 reasons why they should be talking about long-term care now, including:

• Impact on loved ones
• The truth about the costs of long-term care
• Why timing matters
• And more…

Don’t let long-term care needs that accompany getting older catch your clients unprepared. Get the conversation about long-term care started now to ensure they’re ready!

*Bergman, Adam. (2018). Social Security Feels Pinch As Baby Boomers Clock Out For Good. Forbes Media LLC. Retrieved from https://www.forbes.com/sites/greatspeculations/2018/06/21/social-security-feels-pinch-as-baby-boomers-clock-out-for-good/

Lincoln Financial Group is the marketing name for Lincoln National Corporation and its affiliates.

Products, riders and features are subject to state availability. Limitations, exclusions, and reductions may apply. Long-term care benefit riders may not cover all costs associated with long-term care costs incurred by the insured during the coverage period. Accelerated death benefits may be taxable and may affect public assistance eligibility.

For agent or broker use only. Not for use with the public.

LCN-2284433-101818 

Younger clients and tech-savvy employees continue to expect easier and faster ways to conduct business in today’s market – via social media, text messaging and collaboration platforms like Slack. However, you know that bowing to these demands means a drastic increase in the amount of data you need to collect and archive in order to remain compliant to industry regulations.

Download this guide now to understand how to achieve and maintain regulatory compliance while taking advantage of these tools that increase productivity. This guide will also teach you:

• Why “compliant productivity” no longer has to be an oxymoron
• Why text messaging, social media and collaboration platforms are no longer the future of business, but the present, and
• The benefits and risks of this business reality

Modern tools and clever solutions make compliant productivity a realistic goal for your firm if you’re willing to take the necessary steps to achieve it. Act now to improve productivity, morale, and create better connections! 

When we first released "Fees at a Crossroads" in 2015 — a white paper designed to help financial advisors evaluate the right pricing model for their business — the industry was steeped in the DOL ruling, customer habits were changing amid a groundswell of support for robo-advisors, and consumers began demanding more personalized service and greater digital choice.

Download our 2018 version: “Fees at a Crossroads Revisited.” It’s an important update on what’s changed — and what hasn’t — and how advisors like you are adapting.

In this white paper you’ll learn:

• What’s happening to the pricing landscape — key trends
• What consumers understand (and what they still don’t) about how they pay you
• How three advisory firms changed their fee models, and what happened as a result
• What you can do now to help clarify your own pricing strategy

Information provided by Independent Advisor Solutions by SEI, a strategic business unit of SEI Investments Company (SEI). Services provided by SEI Investments Management Corporation and SEI Global Services, Inc., wholly owned subsidiaries of SEI. 

No matter where your new competition comes from, whether it’s robo-advisors or advisors with fiduciary business models, “fee compression” continues to be a key challenge and topic of discussion. Because the future of the industry has many unknowns, it’s important for you to get ahead of the fee compression trend. This requires you to prepare for disruptions now, before one shows up at your front door.

Download this white paper and discover new ways to prepare for heightened competition. You will understand:

• The current state of advisory fees & how your firm stacks up
• How technology tools can help you stay ahead of the curve
• Ways to protect against inefficiencies

Don’t wait for a fee reduction to cripple your business. Act now to ensure your firm can spend less time calculating fees and more time collecting them! 

Increased competition from your peers continues to put pressure on you and your organization to grow or be left behind. However, properly scaling your business to fill all needs is not an easy endeavor. You must be sure you have systems in place to handle current clients and position your firm for future volume. A key factor that impacts growth is personalization of the client experience that’s scalable.

Download this white paper to learn what areas of your business you should take a hard look at first and how to better plan for the future. The key things you must consider while anticipating impending needs include:

• Options to standardize processes to create a consistent AND personal client experience
• Better ways to onboard new clients
• Why you should be proactive instead of reactive
• How to tell if your partners provide you the best support

Growth is a necessary part of business, and in today’s industry landscape it doesn’t have to be painful. Get tips on how to ease your organization into the future instead of falling behind the times.

Financial advisors routinely help their clients manage retirement planning, but when it comes to planning for their own future, they hesitate. Your personal relationship with clients means you want to be certain they are in good hands, but who can fill your shoes? Planning for your own future can be a daunting task, but you owe it to yourself, and your clients, to ensure a smooth transition when you’re ready to move on.

Download this white paper for strategies to consider when planning for the future of your practice. You’ll learn how to:

• Create a client-centric strategy
• Identify the right technical support and training throughout the transition
• Recognize and accept the unexpected emotional challenges
• And more…

Learn how to make the changeover easier for both you and your clients.   

A fixed income fund is attractive to many investors, but finding the right one is not easy, especially with the low interest rates that have persisted over the past several years. Options for increased yields can come with more risk, but not always. We believe there is a way to find funds that tap into lower-risk and ripe markets.

Download this white paper to learn about a careful, measured approach to fixed income and how it may provide the benefits your clients seek. Critical to this method is understanding what factors to look for in a fixed income fund, including:

• The right mix of bond types
• Why we choose specific bonds types
• The size of the fund

Act now to find some the best fixed income fund options for your clients.

When it comes to your portfolio accounting tools, it’s tempting to just live with the devil you know. The idea of moving to a new system can bring up so many concerns; you may not even want to attempt to make improvements. Recent advances continue to change the industry landscape and what clients expect from you. By failing to move forward with better options, you run the risk of being left behind, even if it’s with the “safe” system you have in place now.

Download this fact sheet now to find out if you’re already slipping behind your peers. Take a look at five key areas of your current operation, including:

• The role physical installation plays in your platform
• Whether you outsource data reconciliation
• Any overlays inherent in your current system
• The speed of any updates
• How long it takes to generate reports

Sticking with outdated, under-supported tools may seem like you’re saving money, but eventually, it creates more costs in missed opportunities and wasted time. Make sure you’re equipped to grow your business now!

The advisor-client relationship must be built on trust to create a bond. Clients need to know you will protect their finances without taking undue risk and provide a calm voice of reason to help them make confident and rational financial decisions. To make this happen, it’s essential to establish many touchpoints to ensure you deliver what your clients need.

Download this white paper now to help you understand how to create strong bonds with both prospects and clients. This includes how to:

• Articulate your value to prospects
• Deliver during every client interaction, especially the onboarding process
• Create experiences that lead to more referrals
• And more...

Discover how simple changes can convert prospects to clients, and clients into advocates for your services. With the right method, you’ll deliver the personal touch clients seek and add value to your practice!

Think Advisor and LPL Financial are separate entities.

Thinking about transitioning your business to a different firm undoubtedly raises questions and concerns, and considering all the different factors, ranging from payouts and technology solutions, to the new firm’s culture is critical. Actually taking the next step toward transition often raises even more issues and emotions. To overcome this uncertainty you must separate myth from reality - which will help you build a solid plan for the future.

Download this white paper now to learn key things to consider before making a move. This resource will:

• Debunk myths about moving to a new broker-dealer
• Give you 3 keys for transitioning successfully
• Help you find the partner that matches your goals

No one says change is easy, but if done properly, a transition can be the best decision for you and your clients. Act now to prepare for a move that will help you grow your business.

Knowing the value of your practice – and how you can influence it – can play a huge role in growing your business and finding long-term success. Understanding value should drive everything you do, from the structure of your business, to your plans for the future. By understanding and focusing on the factors that actually change overall value, you can find new ways to maximize success.

Download this white paper now for insights into what successful advisors are doing to grow business and boost the value of their practices. You’ll learn:

• How to apply strategic planning
• Ways to outsource non-core office functions (and which ones to choose)
• Steps to create more time for business development and client retention

You have more options than ever to help take care of day-to-day operations. Don’t wait for success to come to you, take steps to ensure your firm climbs in value for the foreseeable future.

Anyone who works in the financial services industry knows it’s critical to look for ways to connect with the millennial generation that represents a rising population in the workforce and among customers. Millennials stand to inherit an estimated $30 trillion from the Baby Boomer era. However, it can be very hard to communicate with this demographic and you need to tap into technology they already use on a regular basis: text messaging.

Download this white paper to understand why millennials demand this type of communication with their financial advisors and how your firm can overcome the compliance issues that come with it. You’ll receive 6 tips for developing a compliant texting strategy, including how to:

• Evaluate your firm’s device ownership model
• Update your policies
• Train staff and ensure integration
• And more…

Embrace the future and start using text messaging today to gain a competitive edge and meet the new generation where they feel comfortable.

You are most at risk of losing business when the market dips and clients call with requests for you to just “do something”. This is also when clients face the most risk for losing hard-earned funds. Instead of letting clients run scared during times of market volatility, you must look at it as a huge opportunity to reinforce the value you provide them.

Download this white paper to learn why your role as an educator and counselor is even more vital than your role as a money manager. It covers five steps you can take to prepare clients and help them weather an erratic market, including:

• Early education
• Communication cadence
• Being proactive (including how-to tips)
• Counseling (with a list of ready-to-use talking points)
• Making adjustments only when necessary

Market volatility is a natural part of the investment cycle, so preparing clients ahead of time and helping them understand what to expect sets the foundation for long-term relationships rooted in trust. Act now to make sure both you and your clients are ready.

The widespread options for communication in today’s landscape help your firm stay connected to each other and clients. However, while some firms leverage best practices and get the most out of the technology available, others stumble into bad habits that create dangerous vulnerabilities.

Download this field guide to understand what not to do with modern communication tools in order to remain compliant to regulatory obligations. You will understand how to limit risk involving:

• Text messaging
• Social media
• Email
• Other sharing platforms like Slack or Microsoft Teams

Don’t just stick your head in the sand with danger on the horizon, act now to make sure you protect your firm and your clients as you embrace the digital age.

It is natural for your clients to want to react quickly to the market to protect their financial health, but that may mean they end up making a risky decision. It is your job to help prevent clients from overreacting into disaster – to essentially protect clients from themselves. However, you know that keeping them safe in this way may put your relationship on the line.

Download this white paper for three essential strategies you can use to keep clients from putting themselves at financial risk. These tactics include:

• Which questions to ask to understand clients’ behavioral makeup
• How to manage behaviors and suggest new approaches
• Ways to avoid sending conflicting signals

Make sure you earn the trust of your clients by keeping them away from blunders and setting them on a path to success!

The freedom to design your own future doesn’t have to be a dream. As an independent Registered Investment Advisor (RIA), you can build your vision and serve clients—your way. You just need someone to help you get there.

That’s why Schwab Advisor Services™ brought together more than 30 years of industry-leading expertise and insight in The RIA Roadmap. This guide will help to explain the key steps to take to start your journey to independence.

In this guide, you’ll find guidance on:

• Defining your business strategy
• Preparing for legal and compliance issues
• Connecting with resources to help set up your office
• Converting your accounts
• Strengthening your practice

Just because today’s economic landscape is in flux, you do not have to be afraid. This climate can also bring many opportunities for your business. A savvy advisor can examine the factors that influence industry shifts and see a clear opening to help investors.

Download this white paper to get a better understanding of the 4 macro trends that are producing new prospects and potential AND an increased need for human guidance. Takeaways for your business include:

• How to tap into the possibilities created by generational shifts
• Understanding why regulatory shifts do not have to be painful
• Adapting to increasingly complex client needs
• Ways to help your clients take advantage of new technology, while avoiding information overload

In times of change, your clients and prospects need someone they can trust to show them the way forward. By understanding what they need, you can seize the opportunities at hand.

LPL Financial and ThinkAdvisor are not affiliated entities.

The new tax law creates a favorable business climate. Lower tax rates on business income offers unprecedented opportunities for independent advisors and practices of all sizes.

Now might be the right time to pursue an independent practice or restructure an existing one.

The first step to reaping those benefits is understanding the implications of the recently enacted tax legislation. Download this white paper to learn about the opportunities available under the new tax law; as you seek to grow, protect, and lock down future value in your business. You will learn:

• Key tax provisions impacting your business
• How to maximize your business value and find the right support
• Benefits of pass-through business entities
• Why incorporating may be better for long-term business growth

LPL Financial does not give tax or legal advice. Individuals should consult with their own attorney or tax advisor regarding their specific situation.

While many advisors prove adept at helping clients plan for their financial futures, many fall short when it comes to planning their own. Some estimates by State Street Global Advisors show that over the next decade, nearly 70,000 advisors controlling more than $2 trillion in assets will retire – and more than two-thirds of advisors have no succession plan in place.

Download this white paper to learn more about how to properly plan for a transition, including how to extract the full value of a practice when selling it. You will discover strategies and tactics to optimize the value of your practice, including:

• How to measure the value of your practice
• Types of succession plans, and their advantages and disadvantages
• 6 ways to drive up practice value
• And more…

Selling your practice could be an arduous process, but proper planning now can help you maximize profit while protecting clients and employees. Start putting ideas in place for your future.

With interest in alternative investments at an all-time high, you may need a crash course in how to include alternatives in your traditional reporting for clients. Or, if you already include alternative investments, you know how difficult it can be to report on them in a comprehensive way.

Download this white paper for a better understanding of the top five challenges advisors face when reporting on alternative investments, and how to solve them. These challenges include:

• Tracking private equity investments by vintage year
• Tracking differences of cash flows and capital calls
• Viewing private equity exposure
• And more…

Discover how to accurately report on alternatives and provide an all-in-one statement of holistic net worth for your clients’ portfolios.

With the rapid passage of the Tax Cuts and Jobs Act, there was not much time to try and understand all the changes it brings about. Your clients need you to be able to tell them which of the tax code modifications affect them and how they can capitalize on the opportunities created.

Download this guide for an in-depth rundown of the major tax changes and recommendations on how to move forward. In many cases, the revisions may have a meaningful influence on future financial choices. You will learn:

• How to discuss tax changes with clients – including a list of important review points
• The potential impacts on clients’ after-tax income
• What the new tax law means for individuals, businesses and their investments
• And more…

Now is the time to ensure you fully grasp the key points of the new tax law to help your clients take the right steps for their financial futures!

The RIA channel has been growing steadily for the past several years. More and more advisors are seizing the opportunity to create the future they imagine for themselves and their clients.

As an RIA, you have the potential to keep up to 100% of the revenue. You determine the shape of your business. You serve clients the way you know is best.

Download this white paper and take a closer look at:

• RIA channel growth
• Benefits of independence
• Differences among RIA models
• Economics of RIA firms
• The custodian’s role

You’ll also receive time tested steps and a roadmap for making your own transformation.

The Securities and Exchange Commission (SEC) has proposed a rule requiring that all investment advisors have in place a business continuity and succession plan for their practice. 

Having a succession plan and ensuring the continuity of business is an integral aspect in business of any kind.

• Why is such a ruling important to know?
• What can advisors do to address this potentially looming legislation?
• How can your broker/dealer help its advisors?

All of these questions will be answered in this white paper on business continuity and succession planning.

Every minute, YouTube users upload more than 300 hours' worth of video - and that's just one video-hosting platform. 

In fact:

• 100 million Internet users watch online video each day
• 65 percent of (senior executives polled) have visited a vendor's Web site after watching a video
• Video doubles your visitors time on your Web site

As an investment professional, video marketing can be a powerful tool that you can utilize to enhance your practice. In this video and white paper, we will statistically illustrate why video marketing is becoming increasingly more important, where it fits in your current marketing plan, how it can strengthen your reputation and how easy it is for you to begin using video to communicate with your clients. 

It's anticipated that 80 percent of all Internet traffic will be directed by video by 2020 ... Don't get left behind! Learn more by watching the short video and then read the white paper!

The Millennial market for financial advisors is challenging.  Not only that, but employing Millennials requires financial advisors to have a different mind-set, and conform to the wants and needs of this younger generation.

To be successful, you’ll need to understand how they think, what they think and how to communicate with them.

Download this guide and explore: 

• How to capture Millennial clients
• How Millennials think and what’s important to them
• How to recruit and retain Millennials at your firm
• How Millennials are the future of your practice

Don’t miss your opportunity as Millennials ascend the income earning curve and possibly become beneficiaries of a massive wealth transfer from their parents, estimated by some to be up to $30 trillion.

With the close of 2017 upon us, you may now be evaluating the effectiveness of the plans you put in place at the beginning of the year. Consistent review of results and what's working is needed to monitor your progress; however, during the course of this review, before you decide to cast off your marketing budget, understand that doing so is tantamount to running a ship without a sail. 

A marketing plan not only helps you ride out a storm, it also propels your business forward with new clients and more income - especially as the winds change and more than 65 million baby boomers prepare to retire. Are you going to be the advisor that captures them in your sails?

One of the largest generations in history is about to move into its prime spending years. Millennials, nearly 70 million Americans, are poised to reshape the economy. Their unique experiences will change the ways we buy and sell, forcing financial services companies to examine how they do business for decades to come.

Did you know?

• 91% of affluent millennials would use a social network to obtain opinions about financial markets or events.
• 81% of millennials indicate they are open to switching to another service provider if they perceive that better products and services are offered.

Download this guide to understand the financial habits of the largest generation in history!

After years of growing complexity, the variable annuity (VA) is trending towards simplicity - and that may be the best development to help you grow your business.

Activate or revisit your variable annuity business with a quick dive into the VA space to learn how recent product evolutions offer new benefits. Discover why it’s time for your clients to rethink VAs, and how you can demonstrate new value for them.

Download this white paper for:

• A brief history of VAs and their evolution
• A how-to on VA reviews with clients and what to look for
• Best practices for VA annuity exchanges
• A quick review of how indexed annuities work
• The best client candidates for indexed annuities

Fee-based money management is for people who are resourceful enough to find new solutions, but intelligent enough to confer with experts. Think of the switch to fee-based money management as the next step in protecting your business and livelihood.

Consider the benefits of converting to a fee-based model, along with comparing it to a commission structure. 

Are you practicing what your preach with a business plan?

Many advisors didn't transform their practice into a business by choice. Our industry has gotten very complicated and through its evolution, this transition was forced upon advisors through client demand, changes in regulation and emergence of new technologies.

Learn what the difference is between running a practice and running a business. 

Download this complimentary White Paper to learn the seven key considerations that will transform your business.

• Give up your direct relationship with revenue
• Create a business plan
• Adhere to a marketing plan
• Get accountable
• Constantly update and review your plans
• Be a perpetual student
• Hire your replacement and let them do their job

Complete the form to download.

Many advisors target the baby boomer generation, leading one to ask, "Why is this segment of Americans so treasured?" As Jessie James once famously responded to the question of why he robbed banks, it's "because that's where the money is."There are approximately 76 million baby boomers alive, with this group controlling 80 percent of the personal finances in the U.S. economy. Marketing to the most affluent baby boomers is the key to growing your practice.

Embrace the challenge of growing your practice around this market demographic. Build your practice focusing on managing risk and solving for the four common dreams shared by the affluent baby boomers.

The four dreams shared by this influential group are:

• Accumulate wealth
• Save to educate their children
• Retire well
• Transition wealth from one generation to another

To learn more about marketing to baby boomers, complete the form.

Generational experiences are vast, creating differences in core values and beliefs that directly affect how Baby Boomers and Millennials work together. This is particularly an issue in the financial services industry, where the demographics of investment professionals is older.

How do these generations work together successfully? Download this white paper to learn about the challenges and benefits of working together despite vast differences between generations.

You’ll learn:

• The vital role both generations play as the industry evolves
• How generations can come together to best serve clients
• The challenges of training, communication and management
• The benefits of mentorship and understanding generational viewpoints

Interest in ESG Investing has skyrocketed in recent years, with one-fifth ($8.7 trillion) of all investments under professional management being invested in impact investing in 2016 alone.

Learn about the history of this growing investment strategy and how it's entering the mainstream, including common myths about performance and why investment professionals can’t afford to ignore ESG investing or the Millennial clients who are poised to propel its growth in the coming years.

Download this guide to learn:

• Details and opportunities for investment professionals within the Nine Points Impact Portfolios
• Why impact investing doesn’t mean a performance trade-off
• Why Millennials are driving massive growth in impact investing

ENVIRONMENTAL, SOCIAL AND Governance (ESG) criteria is a framework to evaluate a company’s impact on the environ­ment, community, employees and for measuring corporate governance effectiveness. Impact investing, Socially Responsible Investing (SRI) and sustainable investing are ESG investing terms. 

Cybersecurity is scary. It’s a massive, cryptic entity with no clearly defined enemy, and it has ever evolving attack vectors with risks ranging from mundane to colossal. While you can’t fix the big problem, you can stay cyber-secure by focusing on what is within your control.

Take your cyber-strength to new heights by applying these simple cyber-security measures. Learn how to use a password management system in combination with two-factor authentication to create a layered security approach.

This white paper covers:

• Password management systems: what they are, how they work and why you need one
• Tips for choosing a password management system
• How to set up two-factor authentication on your accounts

Innovation and technology are quickly transforming financial advisor’s offerings and client expectations. The result has been rapid commoditization of advisor’s core service offerings along with discounting fees (by 20-30 basis points) to stay competitive and attract new clients.  

These same technologies are also creating new opportunities for independent advisors to provide flexible solutions and advanced management services directly to investors to compete against expensive Wall St. SMAs.

Learn how you can integrate this new optimization technology into your business and become a direct provider of these premium services to differentiate yourself from robo-advisors and discount brokers, while maintaining premium pricing.

This white paper provides:

• An action plan to integrate new optimization technology
• Wealth Management industry analysis
• In-depth background context on optimization technology
• Best practices to enhance investment management service offerings

Business today gets done not only through a handshake and signature, but with the click of a mouse, post of a tweet, and ping of an inbox. This digital era provides a variety of opportunities for you to get in front of more potential clients than ever, and to stay fully engaged with your existing client base.

Download this white paper for best practices on expanding your online presence through:

• Creating a website that works and communicates your value
• Improving how clients find you on the web
• Attracting and engaging clients on social media platforms
• Using email to your practice’s advantage
• Reaching new prospects through online webinars

Additionally, you’ll find ways to build your business by reframing your value conversation and enhancing the client experience.

Mega trends like new technologies, low-cost competition and shifting customer expectations are evolving the wealth management industry. Chief among these trends is new competition like bundled technology/human advice offerings and online robo advisors offering advanced functionality.

As a result, advisors, independent broker dealers and their executives need to be able to demonstrate the value they provide to clients, differentiate their business and find cost savings wherever they can.

Professional advisors can clearly demonstrate their value by providing “tax alpha” through strategic trading and rebalancing. Explore how you can embrace this competitive edge by learning:

• A solution for scaling tax alpha
• How to use technology to differentiate your firm
• Benefits for your practice