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ThinkAdvisor

Resource Center

ThinkAdvisor offers a wide range of whitepapers, case studies, eBooks and other resources provided by industry leaders and created specifically for advisors. View the free Resource Center content below today! For information on posting content or content syndication here, please contact Tracey Zwolak.

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Principal®
Despite their independence, GEN X could use some retirement-planning help. Download now.

From managing debt, paying for college costs, and supporting aging parents--your GEN X clients can’t always do everything alone. Read how you can help connect them with the info and resources they may not realize they need. READ MORE ›

Compared to other generations, GEN X may be less likely to raise their hands with questions. But they still need help, and this can provide financial professionals a lot of opportunities. Find out which top challenges they need help with and how your guidance can connect them with the resources they may not realize they need.

Learn more about how this generation of retirement savers are generally feeling—and how those thoughts can impact their saving habits and retirement planning.

Insurance products and plan administrative services provided through Principal Life Insurance Company®, a member of the Principal Financial Group®, Des Moines, IA 50392.

Principal®, Principal Financial Group®, and Principal and the logomark design are registered trademarks of Principal Financial Services, Inc., a Principal Financial Group company, in the United States and are trademarks and services marks of Principal Financial Services, Inc., in various countries around the world.

© 2022 Principal Financial Services, Inc.

2300221-072022 | 072022
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Schwab Advisor Services
Advisor Case Studies: Navigating By Your Values

After years of working under the constraints of the brokerage model, advisor Ralph Courage was experiencing real burnout -- he was ready for a change. He and his partner, Jeff, were not strangers to the Registered Investment Advisor (RIA) model, and to satisfy their hunger for freedom and flexibility they decided to build an independent practice of their own in 2008. READ MORE ›

Ralph and Jeff, founders of Courage Miller Partners, always dreamed of owning a clients-come-first firm. They looked to the RIA model for its freedom and flexibility – and to escape from brokerage burnout. To start on the right foot, Ralph and Jeff chose Schwab as a custodian because of its long track record of serving RIAs. Today, Courage Miller Partners has succeeded despite the uncertainty of the 2008 market crash and the recent pandemic, and its founders are now sharing their advice with you.

“We’re able to change our focus to the goals and desires of our clients. It puts them at the forefront of all of our decisions.” – Ralph Courage, Courage Miller Partners, LLC

To read more about Ralph and Jeff’s story of perseverance and success, as well as their advice on everything from transitioning your team to maintaining your culture, download the case study.
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John Hancock Investment Management
The Merits of a Diversified Alternatives Approach

Effective portfolio construction in the current economic backdrop includes a diversified mix of investments. Read this article and learn about three alternative strategies that could form part of a diversified approach. READ MORE ›

Investors often turn to alternatives as a means of diversifying investment portfolios in anticipation of increased market volatility. This article explores how this approach has merit and works to maximum effect when allocating across a diversified mix of alternatives. Read the article and learn about three alternative strategies that could form part of a diversified approach, including:

How real assets provide an inflation hedge

Trend following in a rising interest-rate environment

Why market neutral strategies may offer dual benefits for investors

And more!

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LPL Financial
How to Drive Significant Growth in Your Practice Each Year

What do top performing advisors do differently? Drive high performers’ stellar client-acquisition numbers and set them apart from typical advisors. READ MORE ›

Download this white paper and learn how to implement top strategies used by high-performing advisors in the following areas:

Time management

Business development

Technology

Financial planning

A multi-generational approach

Building a team

PLUS - find out how these areas are interconnected and get key takeaways you can implement right away!
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Commonwealth Financial Network
Focus on the Experience

Within the advisor landscape, firms serving independent advisors face the challenge of having to optimize two sets of client experiences: those for advisors who have chosen to work with the firms and those for the end-investors who work with those advisors. Download this white paper to learn more about focusing on the client experience for investors, regardless of your business model. READ MORE ›

The client experience—from an advisor/firm and advisor/client perspective—is a differentiating factor in an independent advisor’s success. In this white paper, you’ll learn how partner firms can support advisors and why choosing the right firm partner will allow you to create the optimal client experience to build strong, lasting relationships.

You’ll also learn how to:

Build an Optimal Client Experience

Eliminate Distractions

Deliver Client Outcomes that Drive Everyone’s Experiences and Satisfaction

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Podcasts

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John Hancock Investment Management
Global Plastic Pollution and Potential Solutions Across the Value Chain

Help your clients play their part in the reduction of plastic pollution by understanding the work being done by green investment advocacy groups like, Trillium. Read this article to learn more. READ MORE ›

One of the greatest challenges green investors face is the abuse of plastic production and disposal. Like other climate issues, problems and solutions prove to be complex. However, hope lies in understanding the solutions to this systemic challenge and advocating for a complete rethink of every aspect of plastic value chains, including which players need to take responsibility. This is what Trillium has done with corporate engagement and shareholder advocacy work.

Read this article to learn about an ESG investment and advocacy process designed to pressure plastics producers and affect supply and demand. Topics discussed include:

The complexity of the plastic pollution problem

Circular systems for reuse, renewal and recycling

Advocacy on plastic packaging pollution

Consumer companies and how they are reacting to advocacy efforts

Collaborative engagement strategies help accelerate positive change

Member FINRA, SIPC.

Past performance is not a guarantee of future results.

MF1838579 - 10/21
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John Hancock Investment Management
Choosing the Right Model Portfolio Provider For Your Business

Not all model providers are created equal, so ensure you make the right choice for you and your clients. READ MORE ›

If you use asset allocation model portfolios, you’re not alone. The use of model portfolios continues to grow exponentially because they can help take the hard work out of investing. Models often free up more time for advisors to spend with clients on holistic wealth and financial planning. However, you need to weigh the options carefully before choosing a model provider

Download this checklist now to help you with your due diligence and ask the right questions to ensure the model you use fits your needs. This includes four key factors, such as:

Does the model provider have the right asset allocation expertise?

Does diversification extend beyond asset classes and include multiple styles and managers?

What does ongoing support for the model look like?

How are the fees structured?

While models can make things easier, it’s crucial you pick the right one so your business flourishes while clients stay happy. Discover how to ensure you do just that!

John Hancock Investment Management Distributors LLC | Member FINRA, SIPC | 200 Berkeley Street | Boston, MA 02116 | 800-225-5291 | jhinvestments.com

Past performance is not a guarantee of future results.

MF1867107, 11/21
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Bill.com
Visibility, Control & Scalability: Why Wealth Management Firms & Family Offices Should Offer Automated Bill Pay Services Now

Automation can help your organization grow and thrive while reducing manual labor and the potential for fraud and errors when managing your high-net-worth clients’ bill pay. Download this white paper and learn how you can find a solution that will work for you and your clients --now, and as your business grows--so that you can fully turn your attention to making that happen. READ MORE ›

The landscape for wealth management firms and family offices is becoming more competitive. When partnering with high-net-worth (HNW) individuals and families, it’s important to be on the lookout for innovative ways to create value and strengthen your relations with clients as deep loyalties tend to lead to referrals and grow your business. One way you can put yourself in a position to enhance your partnerships and increase client satisfaction is by offering bill pay services.

Download this white paper and learn how you can:

Provide meaningful interactions with clients

Become more embedded with high-net-worth clients

Gain transparency, control & scale in conducting efficient accounts payable operations

Offer AP automation to support your clients’ bill pay needs

Grow your business starting today

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LexisNexis® Risk Solutions
Get It Right From the Start: Improve the Life Insurance Customer Experience

The customer journey is important -- streamlining the customer application process can help optimize the entire experience. READ MORE ›

The life insurance application process can be lengthy and arduous for all involved: the applicant, the agent, and the insurer. Missing and incorrect data can wreak havoc on the process, wasting valuable time and resources. Yet solutions are available that can help significantly improve the application process by verifying applicant identities and populating essential fields for the carrier.

Download this case study to discover how insurers can:

Leverage proprietary identity verification and linking technology

Correct mis-keying and data discrepancies

Prefill and populate certain required application fields

Streamline the application process and improve the customer experience all while protecting sensitive consumer data

LexisNexis® InstantID® and LexisNexis® Life Data Prefill are not provided by “consumer reporting agencies,” as that term is defined in the Fair Credit Reporting Act (15 U.S.C. § 1681, et seq.) (“FCRA”) and do not constitute “consumer reports,” as that term is defined in the FCRA. Accordingly, LexisNexis® InstantID® and LexisNexis® Life Data Prefill may not be used in whole or in part as a factor in determining eligibility for credit, insurance, employment or for any other eligibility purpose that would qualify it as a consumer report under the FCRA. Due to the nature of the origin of public record information, the public records and commercially available data sources used in reports may contain errors. Source data is sometimes reported or entered inaccurately, processed poorly or incorrectly, and is generally not free from defect. This product or service aggregates and reports data, as provided by the public records and commercially available data sources, and is not the source of the data, nor is it a comprehensive compilation of the data. Before relying on any data, it should be independently verified. LexisNexis and the Knowledge Burst logo are registered trademarks of RELX Inc. Other products and services may be trademarks or registered trademarks of their respective companies. Copyright © 2022 LexisNexis Risk Solutions. NXR15349-00-0222-EN-US
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Principal®
C-suite versus HR: How retirement plan outlook can differ by role

Your plan sponsor clients have lots of different influences on what they think, but probably none more so than their role in the organization. This case study looked at survey feedback to contrast the opinions of those in the C-suite and those in HR roles. Find out what drives each group and how their views can impact your approach. READ MORE ›

Everyone has a unique outlook and their own opinions, but workplace roles and experiences can affect those views. When talking with retirement plan sponsor clients or prospects, the role your contact has at the organization likely influences much of what they think and feel.

This case study reveals what was found when comparing C-suite respondents and those in human resources (HR) roles:

Both roles have a common understanding of an employees’ top three interests—health insurance, vacation time, and workplace retirement plans.

C-suite focuses on the big picture—there is an opportunity to add more focus on improving plan metrics.

HR suite feels the most pressure on talent retention/acquisition—find ways to help your clients reinforce the positive power of retirement benefits.

Insurance products and plan administrative services provided through Principal Life Insurance Company®, a member of the Principal Financial Group®, Des Moines, IA 50392.

Principal®, Principal Financial Group®, and Principal and the logomark design are registered trademarks of Principal Financial Services, Inc., a Principal Financial Group company, in the United States and are trademarks and services marks of Principal Financial Services, Inc., in various countries around the world.

© 2022 Principal Financial Services, Inc.

2300221-072022 | 072022
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Charles Schwab Independent Branch Services
Find the Right Fit for Your Business

Discover why financial advisors are choosing the franchise model. READ MORE ›

Financial advisors have many business models to choose from, including wirehouse, retail, bank, independent broker-dealer (IBD), and Registered Investment Advisor (RIA). And now an increasing number of financial advisors from a variety of backgrounds are finding their fit in the franchise model.

In the franchise model, financial advisors operate a retail branch office under a well-recognized and supported brand name (the franchisor). Rather than employees, they are independent contractors, managing their own business and setting their own priorities in accordance with their business plan and their vision.

Download this white paper and learn how you can grow your business with a trusted brand and a strong foundation. Topics discussed include:

Why choosing a business model is personal

What is the right fit?

How you could more easily serve multigenerational clients and a diverse client base

Specially designed products and open architecture

Finding the right fit for you

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Orion Advisor Tech
Risk is Personal

Learn tricks to make client goals come alive in new ways. Find out more! READ MORE ›

Real risk, as your clients experience it, is not portfolio volatility. It’s the likelihood they will fail to reach their goals. This goals-based definition of risk accomplishes two things: it puts risk into a subjective human context, and it lengthens the timeline against which risk is measured.

The best investors ignore the broader market and focus on getting the returns they need to live the life they want. But even though personal benchmarking makes sense, it also requires us to fight against behaviors we’re used to.

In this white paper, you’ll see how you can use the latest behavioral finance research to improve outcomes, as well as:

Understand how to frame investment advice in ways illuminating client goals

Understand what biases, behaviors, and influences affect goal-setting

Be able to apply the specific methods to aid in client goal-setting

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Bill.com
Wealth Management & Millennials: 6 Tips for Attracting the Next-Generation of Clients

With the transfer of trillions of dollars in assets on the horizon, investing in change today to better support Millennial clients promises an epic payoff in years to come. Download this white paper for 6 sound tips to attract the next-generation of clients and learn about why it’s important to get in front of them now. READ MORE ›

Wealth management firms face one of the fiercest eras of disruption in decades. With the graying of Baby Boomers, the wealth baton is being passed to Millennials—a demographic that makes up more than 27 percent of the population and is due to inherit between 30 and 70 trillion in assets by 2030. The transition of wealth from “old-school” clientele to tech-savvy, on-demand-data-seeking Millennials requires a new and modern approach. Download this white paper to better understand the Millennial market, and learn how to:

Recognize a growing market

Sign up to play the long game

Offer cloud-based and mobile technologies

Assemble a tech-savvy staff

Master your online presence; and

Offer digitally driven value-add services

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Bill.com
Key Indicators That Your High-Net-Worth Clients Need Automated Bill Pay Services

High-net-worth (HNW) clients have higher service expectations and as their trusted advisor, you understand the value of ensuring they are well taken care of at all levels--from providing deep financial analysis to relieving them of daily bill management tasks. But how do you know when your clients need you to step in? Download this white paper for six key indicators that show they need automated bill pay services and how you can help. READ MORE ›

High-net-worth (HNW) clients have exceptionally busy schedules and constraints on their time that can leave them struggling to take care of bills and accounts reconciliation. This commonly leads to overlooked invoices, inaccurate account records and a litany of other financial tracking issues. As their trusted advisor, you have the unique privilege of helping them save time and money, leading to higher income for you.

What are the signs that they require automated bill pay services? This white paper outlines what you can do to help, including:

6 key indicators that your HNW clients need automated bill pay

How to make bill pay efficient and secure

How to help your HNW clients save time and money

Become a trusted guide for your HNW clients

And more!

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Bill.com
From Support to Superglue: How Bill Pay Activities Add Value to High-Net-Worth Client Relationships

HNW client needs are complex and they seek to maximize value in their current partnerships. Offering bill pay can establish you as their most trusted advisor and strengthen your long-term relationships. Download this white paper for a simple solution that will allow you to offer more value to your HNW clients. READ MORE ›

One way to enhance your high-net-worth (HNW) client partnerships and satisfaction is by offering bill pay services. Advisors who utilize automation technology for bill pay better serve their high-net-worth clients and also lower costs for their firm.

Download this white paper and learn how to offer more value to your HNW clients, including:

Control, convenience & secure data

Automated accounts payable

One secure platform for ease-of-mind

Fast payment options anytime, anywhere

Easy document storage and audit-ready trails

Collaboration in the cloud & keeping everything in sync

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Bill.com
Building a Modern Staff to Serve the Next Generation of Clients

Download this white paper and learn about several key markers along the path to assembling a staff for the next generation including a change in mindset, evaluating and refining your technology infrastructure, opening the door to new value-added services and adopting an omnichannel recruiting approach. READ MORE ›

The transition of wealth from Boomers to Millennials is already underway. Capturing your share of this 30-70 trillion-dollar opportunity not only requires a new way of working with clients, but a new mindset and business model for attracting the next generation of firm leaders. This white paper reveals top tips to recruit and retain the best-of-the-best to support your next-gen clientele—and eventually, take the leadership reins.

Topics discussed include:

Embracing a change in mindset

Evaluating & refining your technology infrastructure

Opening the door to new value-added services

Adopting an omnichannel recruiting approach

And more!

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Bill.com
Creating Stickiness with High-Net-Worth Clients

Add value to your services to create more meaningful client interaction. READ MORE ›

Building strong client-advisor relationships is the key to achieving the “sticky factor” with high-net-worth clients. Adding bill pay services is a proven way to increase stickiness with this group because it offers a valuable, highly sought-after service. Bill pay services provide meaningful interactions and frequent touch points that enable you to become more embedded with clients.

Download this report to discover how to retain existing clients over the long term while also safeguarding against your competition. You will learn how to:

Offer highly responsive communication

Eliminate friction

Offer consistency

Achieve trustworthiness and transparency

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Bill.com
How to Strengthen Client Loyalty with Bill Pay

Why offering bill pay services can help you retain or gain high net-worth clients. READ MORE ›

With data showing a third of wealth management clients intend to switch providers or move their assets in the next year, retention is a priority for advisors. You can strengthen these relationships by providing services that offer value beyond investment advice. Bill pay services are especially attractive for high-net worth clients.

Download this whitepaper to learn how to manage bill pay for your high net-worth clients to make them happier and more loyal. You will find valuable information on:

Why bill pay is important to high net-worth clients

How bill pay services can help you stand out from the competition

How the right technology can make bill pay services a win-win for clients and advisors

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Bill.com
The Family Office Playbook for Evaluating New Technology

The latest technology can help single family offices (SFOs) and multi-family offices (MFOs) move into a new era of wealth management--but which tools does your firm need? Download this playbook for practical tips to identify the most important technology needs of your office and how to evaluate solutions. READ MORE ›

Clients today are demanding more: more value, more information, more support and more ease of interaction. With the Great Wealth Transfer underway, as much as $68 trillion is being passed from Baby Boomers to Generation X and Millennials; and these younger generations expect a digital-first approach from their family office. Also, due to the pandemic, many tried-and-true aspects of wealth management such as in-person meetings have become obsolete—all of which is accelerating the trend towards digital transformation.

The good news is that advances in fintech have opened up exciting new digital capabilities for core family office responsibilities like financial planning, risk management, reporting, operations, ESG monitoring and bill pay. The challenge is that, up until now, many family offices have been slow to adapt and adopt. Download this playbook for what to consider when thinking about adopting a more digital-first approach, including:

4 important technology trends that can have a great impact on the family office

Why digitization doesn’t always help your clients and how to ensure it does

6 criteria for evaluating new technologies

A checklist for making technology decisions for your firm

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Global Atlantic Financial Group
2022 Investor Survey Results: The Impact of Inflation on Next Gen Retirement

Inflation is changing the way people think about retirement. How can you connect with next gen retirees on the unique issues they’re facing? Global Atlantic surveyed more than 1,000 Next Gen retirees to see how inflation, and other current topics, are affecting their retirement plans. The results reveal great concern and remarkably consistent perspectives -- giving you common ground to start conversations with both current clients and prospects. READ MORE ›

The next generation of retirees is facing unique challenges including inflation that has risen at a rate that no one has seen for 40 years. In addition, stock market volatility is contributing to their concerns over retirement planning. They may be looking for the upside potential and downside protection that products like annuities can provide. And they typically care about the type of “retirement paycheck” that many annuities are designed to deliver.

Access this consumer study to learn how you can help your clients envision retirement during these times of high inflation, including how to address:

What they’ve recently experienced

What they expect going forward

What they want from a retirement plan

And where you can make the difference

PLUS - get access to client-facing videos, articles and brochures to help guide your conversations!
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Commonwealth Financial Network
Demystifying the Independent Channel

Did you know that 89 percent of advisors who are looking for independence want more autonomy over their business, and nearly all of them want higher payouts? READ MORE ›

Advisors looking to leave employee-based firms behind have a variety of options they can pursue. These options, and the ability to move between them, give advisors flexibility to make independent affiliation work for their practice.

In this white paper you’ll find a breakdown of which advisors seek independence and why. You'll also discover:

What it really means to manage your own business

How you can make a successful transition

An affiliation model that will meet you where you are

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Fidelity Investments
Demystifying Common Portfolio Construction Practices: Myths, Realities & Real-World Examples

Building investment portfolios has never been harder. With rapidly changing markets and a growing universe of investment options, your clients need your help to grow now more than ever. Download this eBook and learn how to help shape client outcomes and help take your practice to the next level. READ MORE ›

This eBook is based on thousands of portfolio reviews for advisors, and uncovers and debunks 7 common myths of portfolio construction including how:

There’s one optimal portfolio for all investors

All bonds and debts are created equal

Inflation is no longer relevant

Style and market cap are the only ways to gain an edge

Consensus is comforting

A one-size-fits-all portfolio is good enough

It’s all about managing the money

Download the eBook now to start debunking these myths!
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Orion Advisor Tech
White Paper: How Technology Can Free Your Advisory Firm to Grow

Find out how technology can solve unnecessary complexities. READ MORE ›

Technology all too often complicates, rather than simplifies our lives.

In this white paper, we will identify five specific unnecessary complexities that can be remedied with the right advisor technology.

Those complexities include:

Navigating multiple tech systems

Generating personalized client reports

Developing customized models for each client

Juggling different billing methods and exclusions

Keeping up with SEC regulations

Advisors who know how to leverage their technology can avoid these complexities altogether and instead put their time toward growing a healthy and stable business.

0551-OAT-3/31/2022
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Midland National® Life Insurance Company
Finding The Right Mix Of Growth Potential And Protection

As consumers are nearing retirement, balancing financial risk in an ever-changing market can be challenging. READ MORE ›

Helping clients strike the right balance between protection and risk will help them grow their retirement income despite what the market dictates. But clients may need your help to understand the different financial risk factors of their portfolio.

Download this guide and client risk assessment calculator which you can use to help your clients understand their risks due to inflation, taxes, and market volatility and which investment decisions and products make the most sense for them. Topics discussed include:

Volatility: Are clients overexposed?

Protection: Will gains be overwhelmed by inflation or taxes?

How to balance financial protection with potential growth

A deep dive on the benefits of fixed index annuities

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Commonwealth Financial Network
The Ultimate Retirement Income Planning Guide for Advisors

There are many areas to focus on when creating a retirement income planning experience for your clients. This guide will help you add depth to your client relationships, distinguish yourself as an expert and help you prepare your clients for the next phase of their lives. READ MORE ›

As more and more people approach their golden years, you may see a shift in your practice—from a focus on accumulation and growth to one of income and distribution. It’s important that you’re prepared to not only ensure that your clients have enough to live comfortably, but to help them properly allocate the assets they have.

Download this guide to retirement income planning which can help you:

Determine how your clients will spend their post-working years

Assess their financial situation to see how realistic their goals are

Identify different options for retirement income, as well as possible shortfalls

Implement a retirement income plan

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Orion Advisor Tech
White Paper: Behavioral Finance is the Future of Fintech

Find out why behavioral finance is the future of wealth management. READ MORE ›

As our industry changes, financial advisors are increasingly called upon to act as behavioral coaches, guiding more than just their clients’ portfolios.

In this whitepaper, we’ll look at the evolution of wealth management and answer a number of important questions about how you can create value for clients, including:

● What is behavioral finance?

● What are the three biggest drivers of client behavior?

● How can technology help you influence better investment decisions?

0617-OAT-4/13/2022
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Commonwealth Financial Network
How to Evaluate Your Potential Firm's Compliance Team

All compliance teams are bound by the same rules, but it’s how they create policies to comply with those rules that may make them different. READ MORE ›

If you’re in the process of interviewing partner firms as an independent advisor, you know there’s a lot to talk about — and a lot of people to talk to. One critical topic on your list should be compliance. You want a team that works with you to achieve your goals — not one that puts up roadblocks to your success.

Download this white paper for details on:

Defining your ideal compliance partnership

Knowing which questions to ask potential firms regarding their compliance teams

Using practical resources to help your evaluation

Setting expectations for an ongoing relationship

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Commonwealth Financial Network
Building Your Best Practice on Your Terms

Deciding to run your own business is fear-inducing but luckily you can learn from others who have already taken the leap. Download this case study and see how a fee-based business model and an experienced firm partner can help you provide consistent and exceptional service to high-net-worth clients so you can have more time to live the life you want. READ MORE ›

Are you interested in being your own boss but don’t know where to start? Download this case study and learn how to achieve the flexibility and freedom you want, so you can focus on prospecting for new clients and deepening your relationships with current ones; including how to:

Put a plan into action

Focus on fee-based AUM

Create a better working environment for your staff

Focus more on complex financial planning & wealth management tasks

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Schwab Advisor Services
Finding the Right Custodian: Hear One Independent Advisor's Story

As president of Jupiter Wealth Management, Tyler Boon was working hard to keep clients happy. But when COVID hit, his firm’s custodian wasn’t keeping pace with the industry’s changing demands. So Tyler set out to find a more tech-savvy custodian that could help him deliver an ideal client experience efficiently and build a plan for his firm’s future. With Schwab Advisor Services, he found both, and even more -- a custodian that shares his firm’s clients-first culture. READ MORE ›

Tyler Boon had been running a successful independent firm since 2018. So why did he decide to make a big change in the middle of the pandemic? It started with the realization that he needed a more tech-forward partner – one that shares his passion for putting clients first – to give his clients the highest level of support in this new environment. He took a bold leap, and now his clients and team are benefitting from Schwab’s digital tools and expert guidance.

Could making a change bring new opportunities to you and your clients? There has never been a better time to find out. At Schwab Advisor Services, we’re dedicated to helping advisors like you build your business your way.

Get Tyler’s tips for assessing a custodian’s culture and offerings, including:

How to recognize forks in the road, and what to do when you come to one

How to make the switch, even in turbulent times

How self-serve tech provides unexpected benefits

How to leverage the expertise of your custodian

To read more about Tyler’s story and hear his advice for advisors seeking something better for their practice and their clients, download this case study.
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Schwab Advisor Services
What you Need to Know About the RIA Channel

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

More and more advisors are choosing independence to create the future they imagine for themselves and their clients. Custodians and platform providers work together to help position advisor teams to reach their full potential.

As a Registered Investment Advisor ("RIA"), you serve clients and design your business 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

Planning considerations

The custodian’s role

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

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC (www.sipc.org). Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Charles Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2020 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG (0220-0D4M) (02/20)
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Schwab Advisor Services
The Independence Model. Made For Moments Like These.

Financial planning isn’t easy. Throw a crisis into the mix, and it’s on another level. Hear how advisors leveraged their independence to weather the ’08 financial collapse and COVID-19, and discover why now may be the exact right time to make your own transition. READ MORE ›

For many investment advisors, the ’08 financial crisis and COVID-19 pandemic highlighted just how valuable the Registered Investment Advisor (RIA) model can be for their business. With more freedom and control to do what’s best for their clients, independence has helped advisors soar when the odds were stacked against them. In this four-part white paper, we share insights from real RIAs on how the RIA model helped them navigate turbulent times, the unique advantages they’ve enjoyed through independence, and why now is the best time for you to make the transition.

Download this white paper to discover how the RIA model has helped advisors thrive, with discussions centered around:

The strengths of the independent model, with firsthand accounts from RIAs who overcame challenges and better served their clients

Facing the future head-on and how advisors are positioning their firms to beat future challenges

How independence, and the flexibility it offers, is within your reach

Seizing the opportunity to break away when it is needed most

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation. Any mention of third-party firms or individuals is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG (0221-132S) (02/21)
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Schwab Advisor Services
Five Business Models for the Modern RIA

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. READ MORE ›

Why are more and more advisors choosing independence? The answer is simple: The Registered Investment Advisor ("RIA") model has become more than a place to break free from tradition. Custodians and platform providers work together to help position advisor teams to reach their full potential. It's now the destination for those in search of a better way of doing business -- one where more freedom and control allows both advisors and their clients to thrive.

As you embark on your journey, consider the:

Growth of the RIA channel*

Benefits of independence

Differences among the five business models for the modern RIA

Experiences of advisors who chose independence

Download this white paper to discover the five business models for the modern RIA.

*The Cerulli Report: U.S. Intermediary Distribution 2018, Exhibit 2.07.

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC (www.sipc.com). Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Charles Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2020 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG (0220-0D4M) (02/20)
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Schwab Advisor Services
Three Ways Technology Helped One Firm Take on Unexpected Challenges

We all had an unpredictable and often challenging 2020. While it’s forced us to adapt quickly, last year has also reinforced the idea that technology makes it easier for businesses to pivot and navigate in a changing environment. Mike McCann of Perspective Financial Services has found that investing in tech makes all the difference for firms like his -- both in staying on top of the expected and ahead of the unexpected. READ MORE ›

The COVID-19 crisis has kept our industry on its toes, pushing firms and clients to find new ways to communicate and collaborate in spite of new difficulties. If anything, it has underscored how important it is to use technology to your benefit.

This case study covers how advisors like Mike McCann have used technology to automate routine tasks, stay connected with clients and colleagues, and ensure they provide responsive service for every client. His firm, Perspective Financial Services, has used technology to power growth in the face of these challenges – growth for both their clients and their firm.

In reading Mike’s story and his advice, you too can learn to apply these technology tools to your own practice and be better prepared to take on the unexpected.

We’ll cover powerful and practical tech insights and guidance, including:

Ways technology can help you anticipate client needs and deepen relationships

How technology can make firms more agile and secure

Advice based on real-world success

Download this case study to learn how your firm can power a better client experience.

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation. Any mention of third-party firms or individuals is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

(1220-03BE) (12/20)
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Schwab Advisor Services
The RIA Model has Momentum for a Reason

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

Learn why billion-dollar teams are breaking away to pursue the independent model and redefine the advisor industry.

Discover the converging forces fueling the Registered Investment Advisor ("RIA") movement.

Learn the advantages teams gain as RIAs.

Explore the highly evolved support ecosystem including custodians and platform providers.

See why experts are calling this the dawn of a new RIA era.

Download this white paper to learn more about how the RIA model is changing the advisor industry.

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC (www.sipc.com). Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Charles Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

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Schwab Advisor Services
Advisor Case Study: Transitioning in a Pandemic

For advisor Brad Goodwin of San Luis Wealth Advisors, COVID brought on a lightbulb moment. He always wanted the flexibility to offer clients the same options and strategies he used in his own finances, but he needed to be sure everyone could emerge through the independent transition a winner. After seeing how well businesses handled the pandemic’s fast-paced change and the “work-from-home” mentality, he knew there was no better time to move forward. READ MORE ›

Brad Goodwin’s transition to independence isn’t just a great story to tell, it’s a case study in overcoming fears. He made the leap of faith in one of the most turbulent times possible – and it couldn’t have paid off better for his clients and his firm, San Luis Wealth Advisors. Today, he says he has the control and flexibility to choose the technology and software that will streamline his business, and that his only regret is not making the switch sooner.*

Transitioning business models can be a daunting idea. Doing it in the middle of uncertain times only makes it more intimidating. That’s where Schwab’s Advisor Services team can help. Our goal is to ensure everyone comes out on the other side better equipped for the future.

Brad’s story covers key findings about going independent in today’s world, including:

What is the tipping point, and whether you should wait until then to make the switch

How turbulent times could set you up for a successful transition, not a tough climb

What life is like on the other side of independence

His advice on why you shouldn’t wait to call Schwab

To read more about Brad’s story and hear his advice on why you should look forward to – not fear – transitioning to the independent RIA model, download this case study.

*The views expressed are those of the third party and are provided for informational purposes only. Experiences expressed are no guarantee of future performance or success and may not be representative of you or your experience.
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Schwab Advisor Services
The Pivotal Decision: Choosing your Custodian

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. READ MORE ›

There’s no denying that the Registered Investment Advisor (RIA) model brings more freedom and control to those who pursue it. But did you know that choosing the right custodian can make an even greater impact on your future? Schwab Advisor Services™ goes far beyond the basics, with in-depth assistance to help you choose the business model and solutions that are best for you – and continues to support you for the long haul.

Our white paper can help you decide what’s important to consider when choosing a custodian. We’ll go over various topics, including:

Four essential steps to success

Different services a custodian can offer

The value of a benchmark study

Download this white paper to see how the right custodian can impact your business.

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Charles Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2020 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG (0420-0GMV) (04/20)
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Schwab Advisor Services
RIAs are Reinventing the Industry. It's your Turn.

While certain channels are expected to lose market share over the next decade, we’re prepared to see a rise in the number of RIA firms. To learn how you might get in on the growth story, read this white paper. READ MORE ›

As a Registered Investment Advisor, knowing how the industry will change and what tomorrow’s clients will want can make you unstoppable. At Schwab Advisor Services™, our mission is to equip you with the innovative products and solutions that firms and investment advisors need to maximize their potential.

In this white paper, we paint a picture of the future of the investment industry – and how independent RIAs will thrive in it – with attention given to these specific areas:

The needs of high-net-worth investors

Growth through mergers and acquisition (M&A) activity

Cultures centered on innovation

Technology that moves us forward

The era of dramatic pricing changes

These critical trends have put RIAs in a position to excel, and as a trusted custodian, we are here to help you seize the opportunity. Download this white paper to learn more.

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Charles Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2020 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG (0820-0FZZ) (07/20)
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Schwab Advisor Services
Discovering the Hybrid RIA Model

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

In the last five years, the number of advisors moving to the independent Registered Investment Advisor ("RIA") space has increased significantly, with custodians and platform providers working together to help advisors reach their full potential. This move to independence brings new opportunities with it, including unique paths like the hybrid RIA model. Hybrid RIAs maintain both a brokerage and advisory business -- a combination that can benefit their clients and businesses alike.

Get an overview of the different types of hybrid models. See whether one aligns with your goals as you explore key topics:

Momentum in the hybrid RIA channel

The hybrid model defined

Opportunity within the hybrid model

Differences among the hybrid RIA models

Download this white paper to discover how the hybrid RIA model could help transform your business.

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC (www.sipc.com). Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Charles Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG (0220-0D4M) (02/21)
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Schwab Advisor Services
Explore the Varying Levels of Independence

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

The kind of support a Registered Investment Advisor ("RIA") receives is based on their personal and professional goals. Whether you want to pursue independence as an owner, an affiliate, or a teammate, Schwab can help you through the transition and support you throughout the life of your business.

In this white paper, we highlight the five most common RIA profiles while exploring topics like:

The different levels of control an RIA can have over their business

The benefits of platform provider support, upfront financial support, and existing infrastructure

Ways to pursue independence without being self-employed

No matter which path to independence you choose, custodians and platform providers will be ready to help you reach your full potential. Download this white paper to learn more.

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC (www.sipc.com). Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Charles Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG (0220-0D4M) (02/21)
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Schwab Advisor Services
Building your Tech Stack: How the RIA Model Gives you Freedom to Do it your Way

The number of digital advisory platforms and tools keeps growing. When you transition to the Registered Investment Advisor (RIA) model and choose Schwab as your custodian, you gain access to our flexible technology platform, plus the ability to pick the tools to build your firm’s client experience. Stephanie Barnier of Clear Sky Wealth discovered she always had an edge over the competition due to Schwab’s digital capabilities. And, she even created a 100% paperless operation. READ MORE ›

The past year has taught us to reimagine how we connect, learn, and work. As an independent RIA, having the right digital tools and platforms can offer a simpler, faster, and more secure way to support your clients and manage your business.

This case study explores how Clear Sky Wealth’s Stephanie Barnier has boosted her firm’s efficiency by going independent and customizing her tech stack using Schwab’s flexible, best-in-class technology platform. Now, she’s running a modern, digitally enabled practice that is known for being client-forward, fast-acting, and flexible.

Her story covers key findings about tech you can use in your journey, including:

How tech can give you an edge right from the start

What committing to a digital-first approach truly entails

Being ready to support clients in any environment

Surprising opportunities tech offers

Her simple three-step plan for taking your tech further

Read more about Stephanie’s story and hear her advice about choosing the tech that’ll make your firm ready to support clients in any environment

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation. Any mention of third-party firms or individuals is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG 0821-1ESR (08/21)
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Schwab Advisor Services
Creating Your Own Formula for the Modern Office

The ability to call your own shots is a powerful reason to start your own Registered Investment Advisory (RIA) firm. You can create and run a business with complete freedom and make decisions in the best interest of your clients. Today, a new breed of independent firm--the modern office--is on the rise. Find out how these firms are leveraging technology, reimagined workspaces, and more to serve clients better, anticipate their needs, save time, and hyper-personalize services. READ MORE ›

The investment advisory industry took a leap forward when, decades ago, the first advisors broke away to forge their own Registered Investment Advisory (RIA) firms. Today, the ability to act with complete freedom and make decisions in the best interest of one’s clients is a defining feature of the independent model. And it’s giving rise to a new generation of firms called “modern offices.” They’re leveraging technology, reimagined workspaces, and more to serve clients better, anticipate their needs, save time, and hyper-personalize services.

How do you begin to build your modern office? Start by studying how Schwab Advisor Services has helped others do just that.

Get a look at the modern office and what it takes to build one, including:

How firms select and adopt state-of-the-art technologies to simplify their workdays

Which new models for work suit advisors’ shifting needs and preferences

Why and how firms are now prioritizing company culture

Practical examples of firms upgrading client service models to gain an edge

To read more about solving for the future of work through the independent RIA model, download the white paper
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Commonwealth Financial Network
The Advisor's Guide to Advanced Financial Planning Strategies for High-Net-Worth Clients

Fulfilling your high-net-worth (HNW) clients’ needs ensures your profitability and future business success. Download this guide to explore issues you may encounter while serving them and a walkthrough of advanced wealth management strategies. READ MORE ›

Landing a high-net-worth (HNW) client can play an important role in your business success and profitability. But what happens after they’ve signed on, bringing with them an interwoven ecosystem of financial needs? You’ll need to consider their multifaceted legal, tax, and other financial issues and offer creative solutions so you can win and retain their business while prospecting for more.

Download this guide and learn how to round out your expertise so you can cater to your HNW clients’ complex needs. Discover how you can:

Focus on building client relationships instead of deciphering legal documents

Save time and work efficiently

Provide creative, outside-the-box solutions you may not have thought of

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Charles Schwab Independent Branch Services
Bring Your Future Into Focus With the Resources of a Franchise Model

Get the resources of a nationally-trusted brand when you franchise. Download this white paper to learn how. READ MORE ›

Investors are becoming more aware of what they want and need from their financial advisors and they are expecting firms to adapt to their changing expectations. At the same time, fee compression and regulation are creating immense business model challenges for financial advisors across all channels; making it difficult to keep up with their clients’ evolving needs. One of the biggest challenges is a lack of resources to support continued growth.

When you franchise, you provide your clients the attentive relationship they expect, with the benefits of a major financial institution’s scale – including brand, platforms, technology, extensive resources and expertise. As a franchise owner, you are able to spend less time worrying about how to create scale and more time focusing on asset-gathering capabilities.

Download this white paper to learn how to add scalability to your firm and transform your practice as the model enables you to:

Leverage the strength of an established brand

Reach and serve a diverse client base

Receive ongoing national advertising support and local marketing reimbursement

Access modern wealth management solutions for your clients

Work with trusted partners

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Schwab Advisor Services
Advisor Case Study: Transitioning in a Pandemic

For advisor Brad Goodwin of San Luis Wealth Advisors, COVID brought on a lightbulb moment. He always wanted the flexibility to offer clients the same options and strategies he used in his own finances, but he needed to be sure everyone could emerge through the independent transition a winner. After seeing how well businesses handled the pandemic’s fast-paced change and the “work-from-home” mentality, he knew there was no better time to move forward. READ MORE ›

Brad Goodwin’s transition to independence isn’t just a great story to tell, it’s a case study in overcoming fears. He made the leap of faith in one of the most turbulent times possible – and it couldn’t have paid off better for his clients and his firm, San Luis Wealth Advisors. Today, he says he has the control and flexibility to choose the technology and software that will streamline his business, and that his only regret is not making the switch sooner.*

Transitioning business models can be a daunting idea. Doing it in the middle of uncertain times only makes it more intimidating. That’s where Schwab’s Advisor Services team can help. Our goal is to ensure everyone comes out on the other side better equipped for the future.

Brad’s story covers key findings about going independent in today’s world, including:

What is the tipping point, and whether you should wait until then to make the switch

How turbulent times could set you up for a successful transition, not a tough climb

What life is like on the other side of independence

His advice on why you shouldn’t wait to call Schwab

To read more about Brad’s story and hear his advice on why you should look forward to – not fear – transitioning to the independent RIA model, download this case study.

*The views expressed are those of the third party and are provided for informational purposes only. Experiences expressed are no guarantee of future performance or success and may not be representative of you or your experience.
READ LESS ›

Download Resource ›

Schwab Advisor Services
Building your tech stack: How the RIA model gives you freedom to do it your way

The number of digital advisory platforms and tools keeps growing. When you transition to the Registered Investment Advisor (RIA) model and choose Schwab as your custodian, you gain access to our flexible technology platform, plus the ability to pick the tools to build your firm’s client experience. Stephanie Barnier of Clear Sky Wealth discovered she always had an edge over the competition due to Schwab’s digital capabilities. And, she even created a 100% paperless operation. READ MORE ›

The past year has taught us to reimagine how we connect, learn, and work. As an independent RIA, having the right digital tools and platforms can offer a simpler, faster, and more secure way to support your clients and manage your business.

This case study explores how Clear Sky Wealth’s Stephanie Barnier has boosted her firm’s efficiency by going independent and customizing her tech stack using Schwab’s flexible, best-in-class technology platform. Now, she’s running a modern, digitally enabled practice that is known for being client-forward, fast-acting, and flexible.

Her story covers key findings about tech you can use in your journey, including:

How tech can give you an edge right from the start

What committing to a digital-first approach truly entails

Being ready to support clients in any environment

Surprising opportunities tech offers

Her simple three-step plan for taking your tech further

Read more about Stephanie’s story and hear her advice about choosing the tech that’ll make your firm ready to support clients in any environment

Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC. Independent investment advisors are not owned by, affiliated with, or supervised by Schwab.

This is a sponsored feature developed by Schwab and supported by ThinkAdvisor.

ThinkAdvisor is not affiliated with The Charles Schwab Corporation. Any mention of third-party firms or individuals is not and should not be construed as a recommendation, endorsement, or sponsorship by Schwab.

ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy.

©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.

TRG 0821-1ESR (08/21)
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