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Resources

• Stand Out with Tax-Managed SMA Portfolios

  From Orion Advisor Services

  Offering more sophisticated and personalized investment solutions can drive your firm’s growth.

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

  From Cavanal Hill Funds

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

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

  From LPL Financial

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

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• Gen X: The Advisor's Forgotten Opportunity

  From Cavanal Hill Funds

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

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• You've Got a Website -- Now What?

  From Cetera Financial Group

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

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• Point Solutions or Integrated Platform? The Best Choice for Wealth Management Firms

  From Docupace

  As you look to upgrade systems and leverage new technology, you must ensure the digital approach you’re taking is the right one.

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• The Power of Direct Indexing: Tax-Managed Models to Add Tax Alpha

  From FTJ | FundChoice

  Download this guide to discover how you can leverage direct indexing to add tax alpha to your clients’ portfolios.

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• Transforming the Client Experience: Finding New Ways For Advisors to Compete In An Increasingly Digital World

  From Orion Advisor Services

  Discover how a differentiated client experience can help create scale, grow your business, increase its value, and bring in next-generation talent.

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• Midyear Outlook 2019: Focus on What Really Matters in the Markets

  From LPL Financial

  During volatile periods, it can be tempting to make emotional, short-term decisions that could conflict with long-term goals. Read this report to understand why you should focus on long-term trends instead of short-term noise.

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• Transitioning Your Business: What You Need to Know

  From LPL Financial

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

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• The Advisor Of The Future: How To Stay Relevant In The Digital Age

  From Hearsay Systems

  As the status quo continues to morph, you must learn to embrace what’s next, instead of getting caught up in what used to be. Discover how you can transform for the better.

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• Measuring the ROI on Advisor Designations

  From Cetera Financial Group

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

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• Why You Need to Improve Your Client Experience Right Now

  From Orion Advisor Services

  If your clients don’t feel like you are giving them the experience they want, they will find someone who does. Learn how to keep that from happening.

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• Building Your Best Back Office

  From FTJ | FundChoice

  Get info on how you can solve the back office dilemma and save your firm time and money.

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• The Case for an Advisory Board: How to Create and Manage an Advisory Board that Improves the Client Experience and Raises Practice Profitability

  From American Portfolios

  You may think that an advisory board is not worth the time and effort, but implementing one can result in many benefits for your firm.

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• Approach Investing Differently

  From Thrivent

  Evaluating your approach to investing and guiding clients is a continuous best practice. Thrivent Mutual Funds provides a selection of recent thought leadership designed to help you foster more trustworthy partnerships with your clients partnerships rooted in mutually shared values.

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• Charting your own course

  From Schwab Advisor Services

  Advisors are choosing the independent RIA model now more than ever. Discover 5 different paths you can take to independence.

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• The RIA Roadmap: Your essential guide to making the transition

  From Schwab Advisor Services

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

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• Exploring Independence: An overview of the Registered Investment Advisor model

  From Schwab Advisor Services

  Why more advisors are choosing to become RIAs

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• When Your Clients Are Working Against You

  From Cetera Financial Group

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

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• Leveling the Investment Management Playing Field

  From Orion Advisor Services

  Constructing tax-efficient SMA strategies used to be an expensive and time-intensive endeavor. Not anymore. Learn how to personalize client portfolios in minutes--and at a fraction of the cost of outsourcing to a third party.

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• Protect and grow your relationships: A guide to help clients in three stages of income planning

  From Lincoln Financial Group

  Your clients want more than a plan for retirement. They want the certainty that comes with protected income for life.

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• The Long-Term Care Conversation: A Vital Component of Retirement Planning

  From Lincoln Financial Group

  One conversation can make all the difference - start talking Hybrid LTC Funding Solutions.

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• Exceptional Client Experiences Drive Growth

  From eMoney Advisor

  By focusing on your client experience, you can give every client the personalization and attention they want, strengthening your worth and bottom line.

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• How to Choose the Right TAMP for Your Advisory Business

  From FTJ | FundChoice

  A full-service solution that helps you improve your process and client relationships sounds great, but you must be able to determine what will best help your firm grow.

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• Best Practices for Stopping Communication Risk In Its Tracks

  From Smarsh

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

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• What's Driving Advisors to Move in the New Market Landscape?

  From Fidelity Investments

  Get insights into the mindset that’s driving today’s advisors to make a move--and help realize their unique business vision.

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• 7 Keys to Upgrading Your Advisor Tech

  From Orion Advisor Services

  Find out how using technology that fits with your unique needs will help you win more business.

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

  From Cetera Financial Group

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

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• Guide to Branding Your Financial Advisory Practice

  From American Portfolios

  The most recognizable brands in the world understand the importance of making a strong and positive impression. Discover how to make your firm stand out in a crowded and noisy marketplace.

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• Navigating the Compliance Landscape: A Guide for CCOs Amid a Shifting Regulatory Environment

  From Orion Advisor Services

  While the regulations for RIAs keep changing and are complex, you can stay compliant by simplifying.

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• 3 Ways to Nail Down Your Niche

  From Cetera Financial Group

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

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

  From Smarsh

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

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• Delighting the Customer: The Importance of Customer Perception

  From American Portfolios

  Making sure customers are satisfied is no longer enough. Discover six ways to delight your clients, while solidifying your bond.

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• Preparing Clients for Any Market Scenario -- An Advisor's Guide to Market Movement Strategies

  From FTJ | FundChoice

  You need a way to effectively manage client expectations, especially when the market makes erratic swings. Answers to three key questions will give you a great place to start.

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• Win More Clients with Tax-Intelligent Trading and Rebalancing

  From Orion Advisor Services

  Winning & retaining clients in today’s landscape requires you to have the ability to customize portfolios to their individual needs.

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• Modifying Investor Behavior: How Advisors Can Protect Clients From Their Worst Instincts

  From American Portfolios

  Get three key strategies to help keep clients from harming their own financial futures.

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• Tax Cuts and Jobs Act: Responding to an Altered Tax Landscape

  From American Portfolios

  The tax reform bill passed at the end of 2017 means big changes. Learn the ins-and-outs from this comprehensive guide to help your clients navigate the changes.

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• The Future of Advisory Fees: How Competition is Changing the Way RIAs Bill for Services

  From Orion Advisor Services

  Don’t be caught unaware by unexpected fee compression. Learn how to prepare for trouble before it shows up.

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• Selling Your Practice: Determining the Value of Your Practice, Increasing its Value and Putting a Plan in Place

  From American Portfolios

  Don’t leave your clients and employees high and dry-- start planning for the future of your practice now.

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• 5 Signs You're Using Outdated Advisor Tools

  From Orion Advisor Services

  Staying with the outdated technology tools you already have may seem easier, but the costs of being left behind could soon add up.

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• 5 Ways to Make Your Financial Advice Irreplaceable

  From Cetera Financial Group

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

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

  From Smarsh

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

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• The Field Guide to Recordkeeping Worst Practices

  From Smarsh

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

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

  From Smarsh

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

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• Why Compliance Officers Should Say 'Yes' To Text

  From Smarsh

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

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