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.
Despite the wild swings of the market in 2020, data indicates that most investors stayed the course and that meant they were likely to end the year with higher account balances. Still, last year’s volatility left many concerned about their retirement income, so it’s helpful to understand sequence-of-returns (SoR) risk and the potential impact this factor could have on account balances.
Download this white paper now to get insights on SoR risk and discover how that may influence your client’s retirement strategies based on their objectives. Topics discussed include:
PLUS – find out why it is important to evaluate SoR risk in a broader, more holistic context.
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How can contract management teams manage projects and initiatives globally, accounts payable departments process paperwork faster and human resources departments reduce manual tasks? The answer is automation. Automation makes human lives easier by transforming time-consuming busywork into seamless processes that accelerate how work gets done.
This step-by-step guide teaches all you need to know about process automation including what it is, use cases, how to find the right system, factors to consider and the procurement process. Download this guide now and see how automation could help your firm:
Open architecture is a popular phrase among wealth management firms, but what that means can vary widely. When used well, open architecture can be the key to scalability, profitability, and higher practice efficiency. Additionally, it can also pass along fewer costs to clients, as well as more customized advice tailored to their unique needs.
Download this white paper now to learn more about how open architecture can provide you with more choices and a greater opportunity to grow your practice. It can help you avoid conflicts such as:
Take steps now to discover how open architecture can lead to freedom of choice and scalability, as well as give you more time to spend with clients and building your business.
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After talking about it for years, the “Great Wealth Transfer” is here – Baby Boomers are beginning to pass everything over to their heirs. The industry has already seen major changes due to this seismic shift, but you need to keep adapting to ensure you are positioned to work with the next generation and connect with their unique preferences, objectives, and goals.
Download this white paper now for tips on how to attract the next gen investor, and make sure they don’t look elsewhere for their financial planning needs. Topics discussed include:
Time has run out – find out how you can prepare to meet the needs of your changing client base now.
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Transitioning to a new firm can be tricky, but doing so often makes sense. According to a recent study, more than half of financial professionals have either moved or considered moving to a new firm in the past five years.* Additionally, a vast majority say they were happy with their decision. Change can be difficult, but there are ways to make this sort of transition more successful.
Download this white paper now to get a better understanding of why many financial professionals seek out a new firm, the common concerns associated with a transition, and how the overall experience can set a financial professional up for success. You will also learn:
Moving can be unsettling, but can also offer opportunities for your business If you’re considering a change, find out how to control the journey and chart a path that works best for you and your clients.
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These days more of your clients are likely showing interest in environmental, social, and governance (ESG) investing, and that trend shows no signs of slowing. Especially as the Millennial demographic controls an increasing share of wealth, investors want to align with companies who share similar values and societal views. They also demand more transparency as they look for positive societal impact.
Download this white paper now to understand the benefits of ESG investing, while debunking many of the common criticisms around it. You will learn:
As more clients care about where you are putting their money, make sure you’re ready to answer the call to ESG investing.
Member FINRA/SIPC.
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Many clients now prefer a holistic approach to financial planning that addresses many different aspects of wealth management, and are willing to pay a fee for these additional services. This consistent and gradual trend towards fees is likely to continue as financial professionals are seen as client partners in pursuit of long-term goals rather than transaction facilitators.
This white paper walks through six steps to transitioning to a fee based business from determining the services you will offer to moving the accounts.
Download it now and see how easily a fee based business can level-up your career, including benefits like:
As a newly independent RIA, you’ve got a lot to think about. But if how to stand out isn’t at the top of your list, you risk being overlooked by investors who could become valuable prospects.
Consider this: There are nearly 13,000 RIAs in the United States*. How do you convince investors to choose yours? We’ll show you.
Download this eBook to learn how to discover prospective clients, and build a communication plan that consistently nurtures new relationships. Find out:
© 2021 Orion Advisor Technology
1805-OAT-6/7/2021
*Number of RIAs employed in the U.S. 2019 | Statista." 16 Nov. 2020, https://www.statista.com/statistics/614815/number-of-rias-employed-usa/. Accessed 13 Apr. 2021.
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There has been accelerated change to emerging markets mostly evidenced by a shift from commodities-oriented sectors toward faster-growing tech and consumer sectors. Some EM-based technology companies have emerged as global market share leaders or close rivals to developed-market peers. This article uncovers what investors should know about the new emerging market landscape.
Read it now and learn what you need to know to navigate the tumultuous change. Topics discussed include:
These days, growth is often tied to a common buzzword: digital transformation. But it can be hard to know what that means and how it actually stimulates growth. The key concept to understand is that digital transformation offers you the chance to reinvent your services, processes, and more. It prompts more efficiency and agility, so you can create better customer experiences that improve performance and drive revenue.
Download this white paper now to discover what successful digital transformation looks like, as well as five strategies to help you make it happen at your firm. These include:
Take steps now to lead transformational change so you can give your customers faster, higher quality service.
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Investors who embraced risk since the start of the pandemic have been rewarded. While there were several catalysts for the payoff including fiscal stimulus and development of vaccines, accommodative monetary policy from the Federal Reserve played a major role. Understanding how federal decisions affect the markets and economy will help inform your investing decisions in the future.
Read this article and discover key insights into the Fed’s current role and impact on:
Many clients now prefer a holistic approach to financial planning that addresses many different aspects of wealth management, and are willing to pay a fee for these additional services. This consistent and gradual trend towards fees is likely to continue as financial professionals are seen as client partners in pursuit of long-term goals rather than transaction facilitators.
This white paper walks through six steps to transitioning to a fee based business from determining the services you will offer to moving the accounts.
Download it now and see how easily a fee based business can level-up your career, including benefits like:
Many investors tend to focus on bank loans only when there is a broad consensus about the Federal Reserve raising interest rates in the short term. However, loans don’t just perform well under those conditions. Knowing that loans historically perform well in various conditions, and can offer some insulation against rising rates, you may want to consider using them as a way to diversify a broader fixed-income portfolio.
Download this article now to get more insights on how loans as an asset class can offer attractive yields. You will also learn:
REITs (Real Estate Investment Trusts) have become a popular investment vehicle due to the potential for diversification, regular income stream, and access to institutional grade real estate investments. However, not all REITs are the same. It’s important to understand the three main types, as well as how to evaluate them to ensure they are a worthwhile investment that fits within your clients’ desired strategy.
Download this guide now for insights on the potential benefits of REITs, as well as risks that may be involved. You will get:
As clients look for new ways to boost their portfolios, REITs could be a powerful tool – learn more today.
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For newly independent RIAs, establishing brand presence is critical to the beginning of the breakaway journey. You need to define your value proposition, identify your target audience, and determine how to reach them.
But it can be difficult to find time to dedicate to your marketing plan – and even tougher to figure out where to start.
Download this interactive eBook for a walk through every step of building a successful marketing plan, including:
Start your business off with a powerful marketing plan. Download the eBook today.
© 2021 Orion Advisor Technology
1431-OAT-4/27/2021
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With record-low interest rates around the globe, the broader investment community is paying more attention to real estate investments and incorporating them into many portfolios. Before you move forward with doing so for your clients, it’s important to understand the blend of benefits a real estate mutual fund or ETF may add to an existing portfolio, including potential income, capital appreciation, inflation protection, and diversification.
Read this article now to learn more about how you should view real estate investing and the potential risks involved. You will also discover three key benefits real estate investing could provide, including:
Explore the ins and outs of real estate investing as you face today’s income-starved world.
MF1594453, 4/21
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After talking about it for years, the “Great Wealth Transfer” is here – Baby Boomers are beginning to pass everything over to their heirs. The industry has already seen major changes due to this seismic shift, but you need to keep adapting to ensure you are positioned to work with the next generation and connect with their unique preferences, objectives, and goals.
Download this white paper now for tips on how to attract the next gen investor, and make sure they don’t look elsewhere for their financial planning needs. Topics discussed include:
Time has run out – find out how you can prepare to meet the needs of your changing client base now.
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Here’s a secret that’s not a secret: If you are frustrated with your broker-dealer, it doesn’t have to be that way. Due to the ongoing trend of mergers and acquisitions, you may feel like you never know who your next corporate partner is going to be and if they will have a completely different set of objectives. However, there is a way out of all these frustrations.
Download this white paper now to get a better handle on how the constantly shifting landscape of broker-dealers takes a toll on your business and what you can do moving forward. You will also learn 7 key measurements of an ideal broker-dealer, including:
Explore new opportunities and take steps today to put destiny control back in your own hands as a true partner of your firm.
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Most financial advisors possess all the skills necessary to serve high net worth investors. But for this uniquely complex target audience, adding them to your book of business might come down to simply attracting and engaging them in the first place.
This white paper looks at the important process of determining what HNW investors expect from a financial advisor, examines the differences in strategies for serving HNW and mass affluent clients, and explores:
Download this eBook now to master the tools for attracting HNW clients!
© 2021 Orion Portfolio Solutions
1342-OPS-04/20/2021
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REITs (Real Estate Investment Trusts) have become a popular investment vehicle due to the potential for diversification, regular income stream, and access to institutional grade real estate investments. However, not all REITs are the same. It’s important to understand the three main types, as well as how to evaluate them to ensure they are a worthwhile investment that fits within your clients’ desired strategy.
Download this guide now for insights on the potential benefits of REITs, as well as risks that may be involved. You will get:
As clients look for new ways to boost their portfolios, REITs could be a powerful tool – learn more today.
READ LESS ›
They have celebrity status now, but many investors aren’t clear about what a special purpose acquisition company (SPAC) stock actually is. In simple terms, it’s a stock you can buy that doesn’t have an underlying business. And despite their notoriety, it’s hard to be certain if they offer meaningful value, are just another risky fad, or are 300-year-old history repeating itself.
Read this article now to get a better understanding of how SPACs work, as well as the potential upsides and risks. Topics discussed include:
Make sure you know the ins and outs of SPACs so you and your clients can make the right decision when it comes to whether or not to invest.
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If you’re considering breaking away from your current firm, you have a lot to think about. And high on that list should be evaluating potential technology partners. From billing to reporting to data recon, trading, and compliance, it’s critical for your essential business processes to run smoothly, especially while you’re busy building your new brand. But with so many technology options available, how do you choose?
Start right here, with this Breakaway Playbook. In it, you’ll learn how to determine which technology is built to support your growing business by asking questions like:
Before you start a search for your new tech partner, download this Breakaway Playbook to help guide your decision!
© 2021 Orion Advisor Technology
1169-OAT-04/06/2021
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Transitioning to a new firm can be tricky, but doing so often makes sense. According to a recent study, more than half of financial professionals have either moved or considered moving to a new firm in the past five years.* Additionally, a vast majority say they were happy with their decision. Change can be difficult, but there are ways to make this sort of transition more successful.
Download this white paper now to get a better understanding of why many financial professionals seek out a new firm, the common concerns associated with a transition, and how the overall experience can set a financial professional up for success. You will also learn:
Moving can be unsettling, but can also offer opportunities for your business If you’re considering a change, find out how to control the journey and chart a path that works best for you and your clients.
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With many people working remotely, and communications with clients often circumnavigating the office altogether, it can open your firm up to a cyberattack. Any sort of attack could seriously damage your business and client relationships – and take years to recover. The good news is that there is something you can do to easily protect your business.
Download this checklist now for 5 key steps you can take to ensure your firm isn’t irreparably damaged by a cyberattack. They include:
Act now to ensure you and your clients aren’t vulnerable.
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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:
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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While it may be a new year, one thing remains the same: low bond yields. However, many investors don’t fully understand the challenges and risks this environment presents. It’s important to clear up confusion now on the diversification power of bonds, their performance potential, and their liquidity profile for the rest of the year.
Download this article to get answers to three critical questions you and your investor clients should consider when determining next steps regarding bonds. These include:
After the tests created by the events of 2020, ensure portfolios are set up to overcome new challenges in the year ahead.
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With the Fed trying to jump-start the pandemic-damaged economy, it created a policy that, to some economists and investors, created a dangerous environment where some financial assets, and even real goods and services, may reach inflated levels. However, it is making floating-rate securities a potentially intriguing hedge.
Read this article now to understand how you and your clients can take advantage of the current market while inflation is becoming a larger overall concern, including 4 specific risks:
Take steps to enact smart investing policies now to maximize your return.
*FactSet, 1/31/21.
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During the height of the pandemic, many Americans moved in with loved ones to help take care of them. This probably made them painfully aware of the importance of being financially prepared for long term care in their future. Because of this, long term care insurance, which was already top of mind before the pandemic, has likely become an even more popular topic between advisors and their clients these days.
Download this guide now to get a better understanding of how to recommend different long term care options and how you can ensure clients get solutions unique to their needs. You will also get tips on how to address real world scenarios, including:
Make sure your clients and their loved ones are ready for the future.
For agent or broker use only. Not for distribution to the public. EssentialLTC is a tax-qualified, stand-alone Long Term Care insurance policy. Product underwritten by National Guardian Life Insurance Company (NGL). National Guardian Life Insurance Company is not affiliated with the Guardian Life Insurance Company of America, a.k.a. The Guardian or Guardian Life. 5027 04/21
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Download our latest whitepaper analysis which challenges those assumptions and explores:
Find out how mid-cap companies have shown the flexibility and strength to bounce back after previous market downturns in our latest whitepaper.
Investing involves risk including the risk of loss of principal.
The information provided does not constitute investment advice and it should not be relied on as such. It should not be considered a solicitation to buy or an offer to sell a security. It does not take into account any investor's particular investment objectives, strategies, tax status or investment horizon. You should consult your tax and financial advisor. All material has been obtained from sources believed to be reliable. There is no representation or warranty as to the accuracy of the information and State Street shall have no liability for decisions based on such information.
ETFs trade like stocks, are subject to investment risk, fluctuate in market value and may trade at prices above or below the ETF’s net asset value. ETF shares may not readily trade in all market conditions. Brokerage commissions and ETF expenses will reduce returns.
Investments in mid-sized companies may involve greater risks than those in larger, better known companies, but may be less volatile than investments in smaller companies.
Full holdings are available daily at ssga.com.
ALPS Distributors, Inc. (fund distributor); State Street Global Advisors Funds Distributors, LLC (marketing agent). MDY a unit investment trust.
Before investing, consider the funds’ investment objectives, risks, charges and expenses. To obtain a prospectus or summary prospectus, which contains this and other information, call 866.787.2257 or visit ssga.com. Read it carefully.
Not FDIC Insured - No Bank Guarantee - May Lose Value
3452865.1.2.AM.RTL
Exp Date 6/30/2021
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With the economy still in flux, many advisors may be looking to get out of the business and this could provide you a prime opportunity for growth. One of the best ways to grow your business is by adding an existing firm under your umbrella. Whether you are buying or selling in the current market, there is still a right way and a wrong way to go about it.
Download this infographic now for five things you need to know about buying or selling. These include:
Make sure you get the most value possible as you embark on a new stage for your business.
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For wealthier clients, a gifting strategy can be an important tool to use within an overall estate plan. And with a new administration in the White House, it’s important to understand both why a gifting strategy makes sense, and when to talk about it with your clients, especially if they come to you with questions.
Download this eBook to learn the top four reasons to suggest a gifting strategy to your clients, as well as the three most common types of gifts. You’ll also find out:
Does a gifting strategy fit into your clients’ overall estate plans? Download this eBook to find out.
© 2021 Orion Portfolio Solutions
0822-OPS-3/15/2021
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You probably didn’t expect to become a mental health expert over the past year, but it’s now part of your ever-growing list of priorities. A recent report says two-thirds of senior-level decision makers in financial services are considering quitting their jobs if stress levels do not improve. As you look for ways to support your employees during a global pandemic and wild swings in the market, it’s easy to become overwhelmed by the complexity of the issue.
Download this white paper now for 6 key steps you can take that will help you design a comprehensive approach to behavioral health for your employees. Topics discussed include:
When you take time to invest in building a comprehensive strategy designed to meet your employees’ individual needs, it can make a huge difference in morale and productivity.
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Advisors considering breaking away from their current firm and establishing their independence cite one nearly universal fear: That their clients won’t follow.
Download this eBook to learn some surprising facts about how clients really feel when their advisor leaves a firm, as well as four powerful strategies designed to help you bring as much of your current business with you on your breakaway journey as possible.
Find out:
Download the eBook now.
© 2021 Orion Advisor Technology
0778-OAT-03/09/2021
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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:
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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In this time when it’s difficult to create meaningful connections with clients and prospects, finding ways to nurture these relationships and enhance loyalty is key. Implementing a process that shows you care about what’s important to them can make a major difference. This is called “Surprise & Delight” and it can have a direct impact on retention and referrals.
Download this guide now to learn more about the “Surprise and Delight” process and how you can make it work for your firm. Topics discussed include:
Ensure your clients know you care – put a process in place that helps you deliver superior service every year.
FOR FINANCIAL PROFESSIONAL USE ONLY: Securities and investment advisory services are offered through the firms: FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., Triad Advisors, LLC, and Woodbury Financial Services, Inc., broker-dealers, registered investment advisers, and members of FINRA and SIPC. Securities are offered through Securities America, Inc., a broker-dealer and member of FINRA and SIPC. Advisory services are offered through Arbor Point Advisors, LLC, Ladenburg Thalmann Asset Management, Inc., Securities America Advisors, Inc., and Triad Hybrid Solutions, LLC, registered investment advisers. Advisory programs offered by FSC Securities Corporation, Royal Alliance Associates, Inc., SagePoint Financial, Inc., and Woodbury Financial Services, Inc., are sponsored by VISION2020 Wealth Management Corp., an affiliated registered investment adviser. Advisor Group, Inc. is an affiliate of these firms.
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As client service expectations increase and advisors are called upon to provide a client experience that rivals Spotify, Netflix, and Amazon Prime, the next logical step may be implementing a fee model that mirrors those subscription services.
In this white paper, find out:
Download this white paper now!
0679-OPS-2/25/2021
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If you’re an advisor considering breaking away from your current firm, one of the most important decisions you’ll make is choosing your technology partner – and one of the most critical parts of your journey is the onboarding process.
When you’re in the process of establishing your new business, you need:
All that, plus a tech partner with a laser focus on the future. But you don’t have to look too far – find out why one advisor says: “[It] was one of the easiest choices I’ve made in this whole process.” Download this case study now!
© 2021 Orion Advisor Technology
0620-OAT-02/22/2020
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As the market continues to change rapidly each day, with everything from the pandemic to Reddit coming into play, it only adds to the stress on your firm. You and your employees are just trying to keep your head above water and even pre-pandemic 2 out of 3 financial services professionals reported work-related mental health issues. Your teams work hard and the right support can make a huge difference to their productivity and well-being.
Download this guide now to learn how you can make mental health a top priority for your firm, and provide quality support that will actually help your workforce. This includes how to evaluate possible programs by looking for:
The stress created by the events of 2020 is not going away, and if early 2021 is any indicator, it could only grow. Take steps now to protect you and your employees.
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Despite the fact that nearly 70% of advisors report using model portfolios of some kind in their practice*, many are still managing them in house.
Why?
In this eBook, you’ll learn about the two myths that keep advisors shackled to a bygone way of thinking about how they deliver value – and why those misconceptions could be stunting business growth. You’ll also discover the critical ways outsourcing model management can help you:
Is it time to reconsider the way you think about outsourcing model management? Download the eBook to find out.
*https://www.businesswire.com/news/home/20201026005124/en/With-More-Than-70-of-Advisors-Using-Modelsi-Fidelity%C2%AE-Expands-Availability-and-Flexibility-of-Its-Model-Portfolios
© 2021 Orion Portfolio Solutions
0479-OPS-02/11/2021
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Alternative investments continue to gain market share, but the management of them continues to be behind the times. A large portion of alternative investment transactions are still processed manually. This means a higher rate of errors and a process that is slower and more expensive than it needs to be. Your clients may be more likely to get involved with alternatives if you have a better way to manage these investments for them.
Download this guide now to get a better understanding of where the errors and extra costs can come from and how to avoid them. You will also discover benefits of straight through processing of alternative investments including:
PLUS – Get a case study of a firm that successfully used straight through processing to cut costs.
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You’re in the business of building relationships – and for most of your career, it’s likely that you’ve done that through traditional avenues, such as industry conferences and in-person meetings.
But as the age of digital adoption continues, rapidly accelerated by the pandemic’s social distancing restrictions, advisors need to find new, virtual ways to attract prospects.
In this eBook, you’ll learn five powerful ways to master the art of digital lead generation, including:
Start embracing the digital prospecting age. Download the eBook today.
0194-OAS-01/22/2021
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To drive sustainable and profitable growth over the long term, smart RIAs implement strategies that help deepen existing client relationships while prospecting for new ones. Top producers often outpace competitors through new business improvements that focus on clients in order to build trust, even while striving to grow. Discover how you can duplicate their success so you can grow faster, maintain better retention rates, and achieve higher margins.
Download this white paper now to learn how you can move beyond commoditized investment management into holistic financial advice. This includes helping clients navigate life choices and offering life-coaching services. You will discover:
Advisors who can adapt to the changing needs of investors and enact certain best practices reliably outperform the competition. Make sure you’re one of them.
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These days more of your clients are likely showing interest in environmental, social, and governance (ESG) investing, and that trend shows no signs of slowing. Especially as the Millennial demographic controls an increasing share of wealth, investors want to align with companies who share similar values and societal views. They also demand more transparency as they look for positive societal impact.
Download this white paper now to understand the benefits of ESG investing, while debunking many of the common criticisms around it. You will learn:
As more clients care about where you are putting their money, make sure you’re ready to answer the call to ESG investing.
Member FINRA/SIPC.
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Learn why billion-dollar teams are breaking away to pursue the independent model and redefine the advisor industry.
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.
TRG (0220-0D4M) (02/21)
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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:
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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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:
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.
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
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Taking the leap to start your own Registered Investment Advisor ("RIA") firm gives you the opportunity to build your business and serve your clients, your way -- but you're not alone. Custodians and platform providers are ready to help you reach your full potential. Schwab Advisor Services™ has brought together more than 30 years of industry-leading expertise and insight in The RIA Roadmap. Download this guide to start your journey to independence, with discussions on:
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.
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
TRG (0220-0D4M) (02/21)
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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:
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.
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
TRG (0220-0D4M) (02/21)
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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:
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.
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
TRG (0220-0D4M) (02/21)
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The hybrid advisor model is an ideal path for those who wish to maintain a commission-based business while building an advisory practice. Exploring a few key questions can help you identify your business goals and decide whether this is the right model for you.
This white paper includes important questions to consider:
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 understand the benefits of the hybrid Registered Investment Advisor ("RIA") model.
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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The Registered Investment Advisor (RIA) model is an opportunity to build your own brand and put your clients first – but how do the economics work? Is the transition to independence worth the cost? Does the earning potential compare to wirehouse and independent broker-dealer models?
In Schwab Advisor Services’ latest white paper, The Economics of Independence, we evaluate key areas related to the financial success of a firm. By comparing revenue potential, cost control, and business equity, you can have a better idea of how the economics of independence stack up against those of your current practice.
Download this white paper to explore the rewards of independence.
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.
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
TRG (1020-0PU0) (07/21)
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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:
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.
©2021 Charles Schwab & Co., Inc. All rights reserved. Member SIPC.
TRG (0420-0GMV) (04/21)
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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:
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.
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If we’ve learned one thing in 2020, it’s that we’re living in an age of disruption, especially when it comes to client and prospect interaction. Historically, advisors have offered a tech-augmented approach to client experience that still relied heavily on face-to-face meetings to improve relationships and increase engagement. Now, that experience needs to be fully supported by your advisor technology.
Download this white paper to learn more about what you should be demanding from your current and future technology in order to set you up for success. This includes asking key questions, such as:
By asking these tough questions, you can evaluate the tech you’re using now, and make sure it’s the right choice to help you succeed in the future.
3457-OAS-12/29/2020
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Maintaining a client relationship isn’t a linear process.
It’s a life cycle that constantly evolves as needs and capabilities change over time. To ensure that you and your clients are able to continue working together toward a common goal, it’s critical to build your client relationships on a solid foundation of communication and trust, as well as take advantage of the tools that empower a flexible approach to the advisor-client journey.
Download this eBook now to learn how to consistently update and connect with clients in a streamlined, scalable way. You will discover how the right client portal can help you:
Showcase your unique value proposition and strengthen your client relationships with the right client portal.
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Before you can meet — or exceed — your clients’ expectations, you need to understand what they are. As our world continues evolving, and our industry shifts to a landscape that’s almost fully digital, advisors are under pressure to compete not just with other advisors, but with digital delivery giants such as Amazon and Netflix.
In this guide, we explore the complex needs of today’s investors, and discuss how you can strengthen the advisor-client relationship by implementing the following into your practice:
Consistently delivering on these growing expectations — while continuing to scale your business — can be a challenge. Download our guide now to find out how to structure your services to provide an exceptional client experience without sacrificing your growth goals.
3460-OAS-12/23/2020
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Get your free copy of this data-packed white paper, which explains how to make planning a central part of your business, with a specific example of how to build planning into your first client meeting. It will also cover:
3294-OPS-12/08/2020
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As you look for new, creative ways to help your clients build their investment portfolios, any product type that allows you to defer or avoid capital gains taxes may be attractive. The 2018 tax reform law created a new category-Opportunity Zones. However, the IRS has continued to provide guidance on the exact rules that govern opportunity zone fund investments, so presenting them to clients can be complex.
Download this guide to understand the basics of opportunity zone funds and comparisons to other tax-advantaged investments, so you have the knowledge to confidently recommend them to clients. You will learn:
Inform yourself about opportunity zone funds now so you can answer client questions and guide their investment choices.
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As you grow your business, outsourcing investment operations to a managed account or Unified Managed Account (UMA) platform might start to make more sense. However, you may wonder what happens when you take that step. It can be worrisome to trust someone else for the micromanagement your clients need, but it’s something worth considering.
Download this white paper now for an overview of key considerations you should examine when exploring outsourcing your operations to a UMA platform. This includes 17 questions you should ask and answer, such as:
Using an outsourced platform can make you more efficient, but success depends on an informed choice.
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You’re part entrepreneur, part business owner, part mentor, and even — especially when the market is down — part psychiatrist. And yet, as you look to promote the business you’ve built, you must add yet another title to the list: Marketer. Luckily, with the help of this eBook, you can add Marketer to your list of titles with the confidence of knowing you have every aspect of a solid marketing plan covered.
Download this eBook now which will guide you through a step-by-step process to develop a marketing plan tailored specifically to your business needs and challenges. Steps include:
Utilize this fillable tool to help you connect with clients and prospects in the right way. Marketing yourself can be tricky, but this resource can help streamline that process.
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Being a financial advisor in 2020 has been like trying to pilot a lunar landing using a hang glider – beyond challenging, impossible to predict, and with more than just a little turbulence. The COVID-induced disruption to the market continues to accelerate the need for RIAs to re-think their business and operating models as we enter a new era with new norms. One possible solution is outsourcing to a unified managed account (UMA) portfolio and practice management platform.
Download this white paper now for insights on how you can balance portfolio construction with business development. While you may be nervous about outsourcing investment management, this resource will help you answer 3 key questions:
As clients look to you for more customization and tailored portfolios, it’s hard to do that and maintain all the other aspects of an advisory business. Find out how you can create more time for client relationships while still protecting your bottom line.
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As the world continues to change rapidly, most advisors have a difficult question to answer: How can I offer competitive service to a changing demographic in an uncertain investment environment? The only answer is to find the opportunities that help you remain competitive and add more value to clients. Two key factors in doing this are how you adopt new technology solutions, and a broader inclusion of alternative assets that enhance portfolio diversification.
Download this guide now for insights on how you can adapt to shifting customer expectations and overcome 5 challenges that hinder the adoption of new tools. These include:
Find out how you can rethink the way you do business, embracing innovative solutions that will help you streamline operations and enhance the client experience.
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Smart advisors know having more high-net-worth (HNW) investors and their assets in their book of business can free up time to pursue new business opportunities and drive further growth. And emerging HNW investors are a segment worth pursuing: They represent almost 10% of all U.S. households, and more than one-third of them don’t have a financial advisor. However, understanding their needs is key.
Download this white paper now for insights on how to close the generational gap to reach emerging HNW investors. You will learn:
No matter the status of the economy, these prospects need financial advice. It may seem overwhelming to do the work to connect with this demographic, but it could pay off in business growth. Find out how!
2541-OAS-10/05/2020
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The COVID-19 outbreak continues to wreak havoc on economies worldwide. Despite these dire times, leading advisors report that one of the best times for true organic growth comes during market downturns and economic recessions. While this may sound counterintuitive, it makes sense if you look at it from the demand side of professional advice and guidance. This market includes DIY investors looking for answers, and those who may be dissatisfied with their financial advisor looking for a new one.
Download this white paper now to learn how to retain your existing clients by providing exceptional service while remaining proactive and visible in the marketplace to attract new prospects. Topics discussed include:
2244-OAS-08/27/2020
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