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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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T. Rowe Price Investment Services, Inc.
If Taxes Increase, Are Your Clients' Portfolios Ready?

Discover how a tax-efficient investment approach may help clients withstand rate increases. READ MORE ›

As the Biden administration considers proposals to increase personal tax rates, many of your clients could show a renewed interest in tax-efficient investing. Before moving forward, you should ensure you and your clients take into account how to build a tax-efficient model, as well as various evaluation tools. Tax issues can be complex, so it’s important you know what you’re doing before acting.

Download this article now for insights on why moving taxable bond allocations into municipal bonds could help, as well as other tax-efficient strategies. Topics discussed include:

Which type of bonds keep coming out on top

Adding tax-efficient alpha to portfolios through active mutual funds

The importance of leveraging long-term capital gains and dividends

As the tax landscape prepares to change, make sure you’re ready to answer client questions so they can maximize their portfolios.
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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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STP Investment Services
Running Your Business Doesn't Have to Feel Like Running a Marathon

To work more efficiently and effectively with clients, it’s time to embrace the next generation of operations. READ MORE ›

With pressures on you and your firm continuing to mount, it often makes running your business feel like a race without end. You have to stay instantly accessible, be ahead of industry trends, and find new and better ways to boost efficiency. Your clients expect you to deliver superior service, but both modern tools and outsourcing options that can help come with their own challenges.

Download this eBook now for seven characteristics to keep in mind when planning your next steps related to firm operations, and key questions to ask. This includes:

Do you understand your pain points? Does your potential partner?

How should progress/innovation be defined and executed?

Are you able to stay flexible so you can scale later if your needs evolve?

And more…

Your path to success always comes down to time. Find out how to maximize your efforts and make more time for client relationships.
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Fidelity Investments
Investment Management Support for Advisors: Using Outside Resources

Selective outsourcing is a strategic way to enable advisors to give more attention to client relationships. READ MORE ›

With regulatory pressure and a growing number of investment options, the choices for investment decision-making can be daunting. Many clients want their advisors to offer more services, but you may be hesitant to seek outside resources to help with the portfolio construction piece of your practice. However, selectively outsourcing investment management can enable you to spend more time with your clients, deliver more value and life event management.

Download this guide to learn more about selective outsourcing to help you:

Create time for more holistic financial planning

Serve more clients while providing consistent investment management

Seek improved investment outcomes for clients through lower cost or better performance

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John Hancock Investment Management
Why Corporate Bonds May Make Sense in Active ETFs

With rates near historical lows and expectations for higher interest rates to negatively affect sectors such as U.S. Treasuries, corporate bonds have experienced significant global demand. While there's still uncertainty surrounding the COVID-19 pandemic, corporate bonds won't only benefit directly from an improved economic environment but also from robust global investor demand for yield. READ MORE ›

Although interest rates are a bit higher in 2021, they're still very low historically, and it remains challenging for fixed-income investors to find dependable yield. Investment-grade corporate bonds are a popular choice over U.S. Treasuries for investors looking for incremental income without taking on too much credit risk in their portfolios.

Read this article to understand how fundamental credit research might help active managers outperform passive corporate bond index ETFs and how that should play into your strategy for fixed-income clients for the rest of 2021 and beyond. Topics discussed include:

Why now may be the time for corporate bonds

Current credit spreads: Are corporate bonds expensive?

A bottom-up approach to an active corporate bond ETF

Helping increase return potential

John Hancock Investment Management Distributors LLC. Member FINRA, SIPC.

Past performance is not a guarantee of future results.

MF1838577- 10/21
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Symetra
Portfolio Risks Come Into Focus for Clients as They Near Retirement

Risk representation means shifting the focus from portfolio returns to portfolio risk. Download this white paper to learn how to approach conversations with clients on the verge of retirement, including addressing their biggest concerns and how you can help. READ MORE ›

Clients who are at or nearing retirement rely on financial professionals to help provide them with a sense of confidence about how to position assets for long-term financial security. The primary emphasis at that time shifts to what might potentially sidetrack their best-laid plans. This white paper trains you how to deal with their most pressing concerns, including how to think and how you can help them manage the level of risk represented in their portfolios.

Download it now and learn:

Top 3 risks your retirement-age clients should be concerned about

How to avoid major surprises with equity risk

How to make an income stream last; hint: income distribution and longevity risk

How to cope with historically low interest rates

Symetra Life Insurance Company is a direct subsidiary of Symetra Financial Corporation. First Symetra National Life Insurance Company of New York is a direct subsidiary of Symetra Life Insurance Company and is an indirect subsidiary of Symetra Financial Corporation (collectively, “Symetra”). Neither Symetra Financial Corporation nor Symetra Life Insurance Company solicits business in the state of New York, and they are not authorized to do so. Each company is responsible for its own financial obligations.

Symetra Life Insurance Company, 777 108th Avenue NE, Suite 1200, Bellevue, WA 98004.

First Symetra National Life Insurance Company of New York, New York, NY. Mailing address: P.O. Box34690, Seattle, WA 98124.

Neither Symetra nor its employees provide investment, tax, or legal advice or endorse any particular method of investing. Individuals should seek appropriate professional advice before making savings and investing decisions.
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STP Investment Services
Think Outside the Tech Stack: How Outsourcing Solves Four Financial Advisor Challenges

For all the efficiencies a tech stack creates, it also presents major challenges of its own when it comes to implementation, maintenance, training, customization and support. And when financial services firms are looking to grow their businesses, lack of time is a problem. Discover the benefits of outsourcing vs. adopting new technologies. READ MORE ›

As the independent advisor segment expands , so too does the volume of advisor technology that exists to support it. Considering the number of fintech firms designing, developing, and promoting products and solutions for today’s advisors, the idea that technology is the answer to financial advisors’ greatest challenges is a combination of reality and marketing magic. Of course, technology can drive efficiencies, streamline manual processes, improve communication capabilities and even create better outcomes for end clients. But with the myriad of options being put on the market and the technologies themselves differing enough to require extensive training to effectively operate, inefficiencies and costs are created in the process.

Instead of new technology, what financial advisors actually need is the operational efficiencies, time savings and relationship management capabilities that advisor technologies provide, without the burden of maintaining the tech itself. If your firm doesn’t have the time or the resources to dedicate to maintaining another tech platform, there’s another way.

Download this eBook to learn the benefits of outsourcing, including how to:

Offer a differentiated client experience

Implement operational efficiencies

Reach new levels of growth

Attract and retain top talent

Find the right operational outsource provider

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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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Fidelity Investments
Five Key Considerations in Choosing a Wealth Advisory Platform

Reimagine your business practices to spend less time on administrative tasks and more time with your clients. READ MORE ›

The job of a wealth advisor continues to become more challenging: Investors expect comprehensive services, and regulatory changes, fintech fragmentation, and complex portfolio construction create more administrative tasks. Now is the time to reimagine your processes to allow more time to focus on growing your business while enhancing the client experience.

Download this guide to learn smarter ways to scale your research and due diligence processes while staying in line with compliance controls. You can learn how to:

Add value to your client relationships

Spend less time on administrative tasks

Connect the dots from investment planning to portfolio construction

Create space for more face time with clients

And more…

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John Hancock Investment Management
Planetary Boundaries: Measuring the Business World's Environmental Footprint

To curb climate change and other environmental concerns, investors must be on board. And the new generation of investors are demanding it. Read this article to learn about the most trusted approach to sustainable investing and help your clients create a green portfolio. READ MORE ›

Businesses play a huge role in containing global environmental risks and investors are also key players since they have leverage on companies. While sustainable investing strategies that seek to mitigate and monitor environmental risks have gained ground in recent years, efforts have been hampered by a lack of standardized quantitative definitions. The Planetary Boundaries framework is a powerful sustainable investing tool to help investors manage the environmental impact of their portfolios.

Read this article to learn about a trusted approach to environmental investing, including:

Simple metrics to determine a company’s environmental risk

The nine dimensions of the Planetary Boundaries framework

Planetary Boundaries for investment

How to apply the Planetary Boundaries framework to investment portfolios

John Hancock Investment Management Distributors LLC. Member FINRA, SIPC.

Past performance is not a guarantee of future results.

MF1748308 - 9/21
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T. Rowe Price Investment Services, Inc.
Asset Allocation Insights: Sticking With Value

Discover what you should do in response to recent performance of value stocks and growth stocks. READ MORE ›

The value rally recently fizzled and growth socks regained ground. This narrowed the performance gap between the two considerably. While it was unexpected, the resurgence in growth stocks is welcome and supported by consistency over the past 10 years, unlike value stocks. It’s important for investors to figure out how to react to these trends moving forward.

Download this article now to to understand what sort of tailwinds the pandemic continues to create and how to mitigate risk should market outcomes disappoint. You will also learn:

Why the valuation difference between growth and value stocks may not be sustainable

What the potential catalysts for change could be

Which government actions may factor into performance

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Fidelity Investments
Constructing Portfolios for Today's Changing Needs

New strategies to meet the needs of a younger generation of investors. READ MORE ›

A recent survey of investors in Generations X and Y show that 62% want their financial advisors to provide comprehensive services that go beyond managing their money.* In order to succeed with this crucial demographic, your practice must adapt to provide services to clients who have different priorities, especially as they become a larger force in the market.

Download this guide to learn about constructing portfolios for the changing needs of a new generation of clients. You will gain insights into:

How to adapt to the changing expectations of investors

Ways to demonstrate your value

Strategies that let you focus on what matters to your clients

And more…

Find out how you can ensure your practice doesn’t get left behind.

*Source: 2017 Fidelity Investor Insights Study.

Fidelity InstitutionalSM provides investment products through Fidelity Distributors Company LLC; clearing, custody, or other brokerage services through National Financial Services LLC or Fidelity Brokerage Services LLC (Members NYSE, SIPC); and institutional advisory services through Fidelity Institutional Wealth Adviser LLC.

Personal and workplace investment products are provided by Fidelity Brokerage Services LLC, Member NYSE, SIPC.

Institutional asset management is provided by FIAM LLC and Fidelity Institutional Asset Management Trust Company.

500 SALEM STREET, SMITHFIELD, RI 02917

© 2021 FMR LLC. All rights reserved.

990676.1.0
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John Hancock Investment Management
Is the China Stock Sell-Off Cause for Concern?

The uncertainty in the future of Chinese equities is causing alarm. Find out how you should react. READ MORE ›

A major regulatory crackdown on education and tech stocks recently put pressure on Chinese equities, but that doesn’t mean you should boot them out of your portfolios. While the hit on Chinese stocks is concerning, it may be just part of growing pains as the country transforms into a more open economy.

Read this article now to learn more about what to expect from Chinese stocks in the near future as well as what buying opportunities the news about them can create. You will also get insights on:

Why you should take a long-term view on emerging-market growth

What China’s stock market might do next

How to put emerging-market performance in perspective

And more…

While it’s unclear how long the sell-off will last, it’s important to fully understand all the risks involved.

John Hancock Investment Management Distributors LLC. Member FINRA, SIPC.

Past performance is not a guarantee of future results.

MF1748303, 9/21
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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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Orion Portfolio Solutions
Market Cycle Mandates: Investing with Confidence

Help mitigate investors’ market concerns & implement a controlled approach to managing their portfolios with this guide. READ MORE ›

Investors are living in an unprecedented time full of uncertainty. As troubling headlines around market volatility, rising inflation, and geopolitical uncertainty flood their emails and news feeds, it's only natural that they begin to fear what's next.

To help ease client concerns over "what ifs,” it’s imperative to implement a controlled approach to managing their portfolios that can mitigate potential impulsive responses and allow investors to focus on the things in their control — regardless of market condition. Begin implementing these tactics by:

Building confidence based on long-term trends

Turning frustration into opportunity

Managing concern by providing consistency

Download this guide to foster discussions around risk and real-time events that provide peace of mind and start creating strategies that guide investors to their long-term interests.

© 2021 Orion Portfolio Solutions

2331-OPS-8/19/2021
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Orion Advisor Technology
eBook: Ten Lessons Small Businesses Can Teach New RIAs

There’s a lot newly established RIAs can learn from small businesses’ best practices. Download this eBook to find out more! READ MORE ›

As you’re establishing your independence, setting up your firm, and thinking about ways to grow your business, it’s important to remember that your new practice is exactly that: A small business.

And there’s a lot new RIAs can learn from small businesses about getting started – small but critical things that will make a big difference as you begin to grow.

In this eBook, we look at 10 small business best practices that newly independent advisors should apply to their own firms as they’re getting off the ground. You’ll learn:

How to set your firm apart right away

Where the bulk of new business problems actually come from

Which tech tools are non-negotiable for winning new prospects

And more!

Download this eBook now.

© 2021 Orion Advisor Technology

2304-OAT-8/16/2021

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United Planners Financial Services
165 Bright Ideas for Building Business

As you look for ways to improve your business, get ideas from top producers to help stimulate growth. READ MORE ›

One of the best ways to get ahead is to duplicate the success of others, and any best practices or ideas you can glean from peers could make a huge difference for your business. So when 20 top producers got together and started sharing their ideas on how to best build a business, it was time to pay attention.

Download this eBook now to get 165 pointers from other top advisors on how to improve your client events, marketing concepts and practice management. For example, you will learn:

How private or client appreciation dinners can forge powerful relationships

The importance of regular classes, newsletters, and birthday cards

Why it’s important to set goals with clients, including a forecast for the year

Don’t reinvent the wheel when you don’t have to. Use this advice to get ahead.
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T. Rowe Price Investment Services, Inc.
Asset Allocation Insights: A Moderating Outlook for Equities

Use information from the past few months to determine how you should invest during the rest of the year. READ MORE ›

While stock values have continued to advance in recent months, the positive impact of several key drivers has started to diminish. This indicates a possibility that some of the tailwinds might peak soon. The changing economic environment could soon temper potential equity returns, which should dictate how you approach equities moving forward.

Download this article now for insights on how you can use a moderating outlook for equities. You will also learn:

Which factors experts are looking at

How to determine what stocks may do moving forward

And more…

Don’t let an evolving market keep you from making smart investments. Leverage your knowledge for clients today!
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John Hancock Investment Management
Sustainable Investing: Unpacking the Corporate Governance Factor in ESG

Help clients understand what role corporate governance plays in ESG investing, and how bad governance can be catastrophic. READ MORE ›

Environmental and social issues often command the most attention in client conversations related to environmental, social, and governance (ESG) investing. This leaves the G out of the spotlight. However, corporate governance practices can be just as crucial as they determine a company’s approach to building stakeholder value. This includes how it seeks to mitigate risks and pursue opportunities related to the E and S factors.

Read this article now for details on how to understand corporate governance and explain its importance to your clients. This includes:

Key elements of the governance pillar

How good governance can enhance a company, including the bottom line

Why investors should pay more attention to the importance of good governance

Because bad governance can lead to scandal and more, help clients recognize why the G in ESG is critical.

John Hancock Investment Management Distributors LLC. Member FINRA, SIPC.

Past performance is not a guarantee of future results.

MF1689108 - 8/21
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John Hancock Investment Management
Are Your Clients Taking Advantage of the 2021 Child Tax Credit?

The government is giving parents a reason to cheer. Make sure you help them stay smiling with smart investments. READ MORE ›

In the middle of July, parents who earn under a certain income threshold likely started getting payments from the government as part of a tax credit paid monthly through the end of the year. The tax credits are part of the American Rescue Plan, and many of your clients may have questions on how the program works.

Read this article now to understand the facts about the child tax credit program, as well as the answers to all your clients’ questions. This includes:

How to determine client eligibility

Different strategies for distribution of the credit

Ways your clients could plan to use the money

With new capital, it means new investment opportunities for your clients. Make sure you guide them toward smart decisions.

John Hancock Investment Management Distributors LLC. Member FINRA, SIPC.

Past performance is not a guarantee of future results.

MF1727849, 8/21
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Orion Portfolio Solutions
eBook: Keep Clients Invested with Inspirational Alpha

Thematic investment strategies have the power to create inspirational alpha -- which can help keep your clients invested long-term. READ MORE ›

As an advisor, one of your primary tasks is to keep your clients invested in order to build wealth and reach their financial goals. But with volatility in the markets – and in the world – it can be difficult to convince investors to focus on the long-term. In order to do so, it’s up to you to deliver Inspirational Alpha through investment stories that resonate with clients, that stimulate them, that make them excited about what they’re investing in.

Enter thematic investment strategies. These powerful trends are stories that investors can understand and appreciate, with real-world, relatable examples – such as climate change, disruptive technology, urbanization, and more.

Download this eBook to learn about the many benefits of thematic investing for both advisors and clients, as well as:

The five megatrends BlackRock has identified as “superhighways to the future”

Why thematic ETFs are growing so rapidly

How megatrends and other thematic strategies behave in the market

And more...

© 2021 Orion Portfolio Solutions

2094-OPS-7/23/2021
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Orion Advisor Technology
Case Study: Driving Firm Growth with Superior Service and Streamlined Operations

Find out how one firm was able to increase daily trades by 79%. READ MORE ›

Looking to enhance efficiencies, close new business, and improve client experience? So was this New York City based RIA – but they realized they couldn’t do that with the tech provider they were using. By switching tech providers, they were able to save hundreds of hours annually in operations, as well as meet specialized needs for clients at scale.

Download this case study to find out how this firm:

Streamlined their quarterly upload and distribution process

Fulfilled unique client requests in a fraction of the time

Increased daily trades by 79%

And more...

© 2021 Orion Advisor Technology

2084-OAT-7/22/2021
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John Hancock Investment Management
Rising Inflation Is No Reason for Investors to Head for the Sidelines

Just because the market is changing, it doesn’t mean you should stick to playing defense. READ MORE ›

Looking at the most recent data, the conversation is no longer if inflation returns, but rather how bad it may get and what it could mean for investors. The most important thing to remember is that while there may be an oncoming uptick, it was inevitable and fears may be overblown. Either way, it’s essential for you to have a plan for how to position portfolios in the changing market.

Read this article now for insights on how inflation is affecting the yield curve, and how to identify the opportunities created by the changes. You will also learn:

Why rising rates shouldn’t have investors running to get off the field

Which segments still look unattractive after a closer look

How to pinpoint pockets of opportunity emerging in today’s market

Take steps to ensure you and your clients don’t overreact to the change in inflation.

MF1689106, 7/21
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T. Rowe Price Investment Services, Inc.
Positioning for a New Economic Landscape

While it seems like the economic recovery is on track, pressures from inflation create risks. READ MORE ›

The economic recovery from the pandemic is poised to spread further during the second half of the year, but this new landscape poses several critical questions. A key factor is whether the growth will be strong enough to meet optimistic earnings expectations without fueling sustained inflationary pressures. It’s crucial you know what types of risks are on the horizon so you can make smart choices for the months ahead.

Read this article now to get insights on how rising yields don’t just pose obvious risks, but also could create potential opportunities. You will also learn:

Which factors to look at for signs of a sustained recovery

How good signs from earnings growth could be tempered by subdued return prospects for equities

Why you should embrace creativity in an era of rising yields

Why you cannot ignore China

Make sure you get a full picture of what may be coming next before you start making decisions.
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Cambridge
Stability Amidst Uncertainty

The only certainty in the current industry landscape is that it will continue to change. Understanding where to focus your efforts is the key to maintaining stability. READ MORE ›

Expecting the best, but building for the worst is necessary to create stability. It’s crucial you help clients handle the obstacles and challenges everyone faces in the current financial climate. In order to do that you must figure out how to keep your firm adaptive and agile while partnering with the right firm with the flexibility to make changes quickly.

Watch this on-demand webinar now to get insights on:

How to leverage digital evolution & high-quality innovation

How to play the infinite game and why a culture of trust matters

Strategies that let you focus on smart, sustainable growth

Maintaining your independence

Take steps to keep pace with the velocity of changes in current and future financial markets.
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Laserfiche
The ECM Software Buyer's Guide

Learn what enterprise content management is, why organizations need it and how to procure ECM software for your firm. READ MORE ›

Enterprise content management (ECM) software speeds up operations by automating key processes, saves time spent locating documents with a searchable, centralized digital repository and keeps firms better prepared to meet compliance requirements with robust security controls. High-performing ECM systems run an organization like a well-oiled machine ensuring information reaches the right people at the right time. Even as technology evolves, leading ECM systems offer the robust and scalable functionality to serve firms’ content management and process needs over time.

Let this be your A-Z guide to initiating your firm’s digital transformation and implementing content management software. Download it now and learn:

What enterprise content management (ECM) is

ECM capabilities: capture, manage, store, preserve and deliver

Use cases for enterprise content management

How to find the right system

Factors to consider for ECM software

More about the procurement process

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T. Rowe Price Investment Services, Inc.
A Different Perspective on Sequence‑of‑Returns Risk

As investors approach retirement, it is not surprising they may become more sensitive to the risk of a short‑term market decline. However, a narrow focus on risk of loss does not take into account the full range of risks that retirement investors face. READ MORE ›

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:

The definition SoR risk

How that risk plays a role in target date investing

Why managing SoR risk requires glide path trade-offs

And more…

PLUS – find out why it is important to evaluate SoR risk in a broader, more holistic context.
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Laserfiche
The Process Automation Buyer's Guide

Download this guide to learn what process automation is, why organizations need it and how to procure the right software for your firm. READ MORE ›

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:

Increase focus on more strategic initiatives

Grow your bottom line

Boost productivity

Improve transparency

Reduce costs

Spark innovation

Identify bottlenecks early

Make audits a breeze

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United Planners Financial Services
Genuine Open Architecture IS Available to Hybrids

Open architecture can help you lower the costs passed along to clients and give you more time to focus on client relationships. READ MORE ›

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:

Difficulties with proprietary platforms

Frequent mark-ups

Forced revenue sharing

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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Cambridge
Remaining Relevant with Next Generation Investors During 'The Great Wealth Transfer'

If you haven’t already adapted to a new generation, you must start today to attract and retain those clients. READ MORE ›

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:

What sort of tech tools this new generation expects from you

The importance of a smart growth strategy

Why building family relationships is still a key strategy

And more…

Time has run out – find out how you can prepare to meet the needs of your changing client base now.
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Cambridge
How the Transition Experience Can Make -- Or Break -- a Financial Professional's Move

Discover how the right mix of planning, support, and personnel can enable a successful transition for you, your business, and your clients. READ MORE ›

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:

How to ensure client retention during a transition

Ways a customized transition plan can help

What you should expect from a transition team at a new firm

And more…

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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Cambridge
Fueling Business Growth Through Social and Sustainable Investing

Learn why ESG investing is on the rise and how it provides value to a growing business. READ MORE ›

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:

Ways to identify client values by initiating the right conversations

What to look for when constructing an ESG-focused portfolio

Different asset allocation strategies

And more...

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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Cambridge
6 Steps to Building a Fee Based or Fee Only Business

Going fee based benefits both you and your clients. Download this white paper and discover six steps to transitioning your business to a fee based model. READ MORE ›

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:

Predictable income

Increased client loyalty

Staged retirement

Increased business value

Flexibility

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Orion Advisor Technology
A Guide to Getting Noticed: How to Market Your Breakaway Firm

Establishing your new RIA is only step one. Find out how to set your breakaway firm apart with this guide to getting noticed. READ MORE ›

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:

Why you should embrace what makes you different

Which demographic will most likely find you on social media

How to write an email people actually want to read

And more…

© 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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John Hancock Investment Management
Tech and the Consumer Have Reshaped Today's Emerging Markets

Today’s emerging markets are faster-changing than ever. Read this article to learn how to navigate the new EM landscape. READ MORE ›

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:

The transformation of the MSCI Emerging Markets Index

The emergence of new consumer and tech leaders

New opportunities opened by the new EM equity landscape

The bigger picture for new economy stocks

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Laserfiche
Five Strategies for Driving Digital Transformation at Your Firm

Digital transformation is crucial to growth, but it’s not just about building value -- it’s fundamental to long-term survival. READ MORE ›

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:

The importance of a strong leadership team

Strategies for the best form of communication

Ways to foster a digital culture

And more…

Take steps now to lead transformational change so you can give your customers faster, higher quality service.
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John Hancock Investment Management
Fed Policy: What Comes Next?

Investing during the pandemic was troublesome for many. Why did some do so well? Read this article to find out. READ MORE ›

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:

Corporate bond spreads

Stock prices

Interest rates

Currency markets

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T. Rowe Price Investment Services, Inc.
Loans May Provide Solid Returns in Multiple Rate Environments

With the market still unstable and unpredictable, floating rate bank loans may be worth the risk. READ MORE ›

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:

What may change about loans based on the Fed’s behavior

Why loans offer lower-risk way to access sub-investment-grade credit

The reasons coronavirus vaccines continue to be a game changer and what may happen next

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Orion Advisor Technology
Building Your Breakaway Brand: The Ultimate Marketing Guide for Newly Independent RIAs

Establishing brand presence is a critical part of the breakaway journey. Build your marketing plan today with this guide. READ MORE ›

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:

Setting reasonable goals

Determining KPIs for measuring success

Establishing your new firm’s value proposition

And more!

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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John Hancock Investment Management
Why Invest in Real Estate?

As you look for ways to stimulate portfolio growth, taking a closer look at real estate makes sense. READ MORE ›

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:

How it can provide steady income

Possible protection from inflation

Ways it can be a counterbalance in times of market volatility

Explore the ins and outs of real estate investing as you face today’s income-starved world.

MF1594453, 4/21
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United Planners Financial Services
Advisors In Search of the Ideal Broker-Dealer

If your broker-dealer keeps changing and it’s beyond your control, discover how you can make a move to get what you need when you partner with the right broker-dealer hybrid. READ MORE ›

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:

The appropriate size firm for you and your practice

The importance of financial strength, scale, and reputation

Access to best-in-class resources including technology, practice management and more

How important culture and support are to you and your staff

And more…

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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Orion Portfolio Solutions
Digital Marketing Tools for Winning High Net Worth Business

You likely have all the skills necessary to serve HNW investors -- but do you know how to reach them? Find out. READ MORE ›

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:

Why digital adoption is so critical for advisors seeking HNW business

The five key principles for effective communication with HNW prospects

How you can use technology to attract, engage, and retain this target audience

And more...

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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John Hancock Investment Management
What are SPACs? Just the facts

Many view SPACs as the new craze, but investors need to know what they’re getting into. READ MORE ›

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:

How an SPAC compares to a traditional IPO

Why it’s often a case of: pay now, find out later

The most favorable aspect of SPACs

The unpleasant secret of SPACs

And more…

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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Orion Advisor Technology
Your Breakaway Playbook: Navigating Today's Challenges on the Road to Independence

As a breakaway advisor, choosing a tech partner is a critical part of your new firm’s success. Here’s what to look for. READ MORE ›

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:

Is their data reconciliation process held to the highest standards?

Does their trading platform enable me to tax-loss harvest efficiently?

Can I run my billing any way I want to?

And more...

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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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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T. Rowe Price Investment Services, Inc.
Three Critical Questions Facing Fixed Income Investors in 2021

Learn why you need to have a flexible approach and where you should look for answers in today’s challenging environment. READ MORE ›

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:

How can you achieve new sources of diversification in 2021 and why should it be a priority?

What is next for rock-bottom bond yields?

What is liquid in your portfolio and where can you find more liquidity?

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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John Hancock Investment Management
Inflation and floating-rate loans: is 2021 the year for lift-off?

With about $17 trillion in negative-yielding debt worldwide* and the Fed committed to a zero-rate regime, it may be time to consider floating-rate funds. READ MORE ›

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:

The yo-yo effect

The hungry bear

The sloshing bathtub

The great reflation – caused by long-term changes, including a shrinking global workforce

Take steps to enact smart investing policies now to maximize your return.

*FactSet, 1/31/21.
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National Guardian Life Insurance Company (NGL)
Long Term Care Sales Guide: How to Customize Plans for Clients

With discussions about long term care insurance poised to spike, take steps now to make sure you’re prepared to have those conversations with clients. READ MORE ›

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:

If clients are concerned about duration of care or running out of benefits

How to get money back if they don’t end up needing long term care

How to account for inflation

And more…

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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Orion Portfolio Solutions
Gifts and Estate Plans: Why Smart Estate Plans Include a Gifting Strategy

Find out why a gifting strategy is an important component of an overall estate plan, and what to discuss with your clients. READ MORE ›

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:

How annual gifts can help clients reduce the size of their estate

How to use a gifting strategy to help fund educational and medical expenses

How to gift property, such as art and antiques

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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Orion Advisor Technology
How to Start Your Breakaway Firm With a Full Book of Business

Thinking about breaking away from your current firm? Download our eBook to learn four strategies for retaining clients. READ MORE ›

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:

How the pandemic has transformed the breakaway landscape

When to contact your current clients about your move (and when to follow up)

Why technology is so critical for client retention

And more...

Download the eBook now.

© 2021 Orion Advisor Technology

0778-OAT-03/09/2021
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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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Orion Portfolio Solutions
Subscription Services: Adopting a modern fee model benefits advisors and clients

Download this eBook to find out how adopting a subscription fee option could benefit your clients and help your firm grow. READ MORE ›

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:

Why subscription fee models could open the door to more clients

How other firms have already begun implementing subscription fees

Where subscription fees fit in among traditional AUM fees

And more...

Download this white paper now!

0679-OPS-2/25/2021
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Orion Advisor Technology
Case Study: Empowering Breakaway Advisors to Define Their Future

Find out why one breakaway advisor says choosing his tech partner was the easiest choice he made in the entire process. READ MORE ›

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:

Smooth, streamlined onboarding

Robust, easily accessible training and support

Smart efficiencies that save you time on the back end

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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Orion Portfolio Solutions
Many Advisors Aren't Outsourcing Model Management -- Here's Why You Should Consider Starting

Find out why many advisors still aren’t outsourcing model management -- and why you should consider starting. READ MORE ›

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:

Deliver more value for your clients

Establish your expertise and credibility

Enhance firm growth by enabling more time for relationship-building

And more...

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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Orion Advisor Technology
The Top 5 Lead Generation Ideas for Financial Advisors

The age of digital prospecting is here. Download this eBook to learn five actionable ways you can start attracting new clients today. READ MORE ›

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:

How to build credibility and increase visibility at the same time

Why you constantly see ads for products you’ve already searched (and how to take advantage of that)

The one technique that could boost your email engagement by 65%

And more...

Start embracing the digital prospecting age. Download the eBook today.

0194-OAS-01/22/2021
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Adhesion Wealth
How Successful RIAs Are Achieving Growth

Position yourself to outperform the rest of the field by following best practices and adapting to changes. READ MORE ›

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:

Areas of focus to help you meet the diverse needs of today’s clients

Ways to upgrade your toolkit to improve the client experience

How to deepen relationships with clients while optimizing your time management

And more…

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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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
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.

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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.

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

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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.

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

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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.

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

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Schwab Advisor Services
Can independence increase your earning potential?

Interested in the economics of independence? This white paper compares and contrasts items like revenue, cost control, and more. READ MORE ›

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.

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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.

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

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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.

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Orion Advisor Technology
Advisor Technology Outlook: Questions You Should Be Asking Your Advisor Tech

Answer these questions to ensure you can increase client satisfaction and prospect engagement in 2021. READ MORE ›

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:

What steps do I need to take to get the most out of my marketing tools?

Is planning fun for my clients, or is it a chore?

How quickly can I go from building a plan to executing on it?

What business intelligence insights can I derive from my clients’ progress?

And more.

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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Orion Advisor Technology
Propelling the Advisor-Client Journey with a Robust Client Portal

As the needs of your clients and prospects change, make sure your technology can keep up. READ MORE ›

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:

Engage prospects

Simplify the financial planning process

Facilitate more informed conversations

And more...

Showcase your unique value proposition and strengthen your client relationships with the right client portal.
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Orion Portfolio Solutions
How to Exceed Investor Service Expectations: An Advisor's Guide to Expanding Value Propositions

The best way to deliver quality service is by understanding what clients want from your interactions. READ MORE ›

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:

Technology that empowers transactional independence and efficiency

Comprehensive financial advice, not just asset management

Transparency with regard to fee structures

And more

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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Orion Portfolio Solutions
A Planner's Guide to Consolidated Advisory Fees

As you look for new ways to boost your bottom line, re-centering your business on planning can make a big difference. And as the industry is shifting towards providing more planning services to clients, don’t get left behind! READ MORE ›

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:

How planning benefits advisors

7 steps to creating an effective planning process

Roadblocks to effective planning

3294-OPS-12/08/2020
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Adhesion Wealth
Understanding Model Marketplaces & Managed Account Platforms: 17 Questions to Ask When Considering a Platform

Use this checklist as a guide to make sure you find a tool that meets your needs. READ MORE ›

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:

What is the method of delivery?

Which trade execution windows does the platform provide?

How does it allow advisors and managers to communicate?

And more…

Using an outsourced platform can make you more efficient, but success depends on an informed choice.
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Orion Advisor Technology
Making a Marketer: A Guide to Building Your Ultimate Marketing Plan

Your career is more than your job title. READ MORE ›

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:

Building out your business goals

Identifying your key performance indicators

Customizing tactics for different segments of your audience

Budgeting correctly and communicating your true value

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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Adhesion Wealth
Beyond 2020: Future-Proofing Your RIA

The pandemic changed everything, and financial advisors are certainly not immune. Make sure you’re prepared for the other side. READ MORE ›

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:

If outsourcing was already gaining steam as a pre-COVID investment management solution, what is its value in a once-in-a-generation correction year like 2020? And moving forward?

Can outsourcing provide cost savings and help carve out newfound time to nurture client relationships – even during incredibly volatile markets?

What are the attributes to look for in a qualified outsourcing platform that can help navigate a pandemic-fueled economy?

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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Orion Portfolio Solutions
Bridging the Generational Gap: How to Attract Emerging High-Net-Worth Investors

To attract the emerging HNW investor, you may need to consider new prospecting techniques. Learn what it takes to reach this group. READ MORE ›

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:

What this group prioritizes and values above all else, including why they choose their advisors

What gets in the way of advisors retaining their clients’ children

What investing strategies to use in order to retain these clients

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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