Summer Reads For Financial Advisors: Our Picks For A Productive Summer (and beyond!)

summer reading list for financial advisors

Summer often provides the opportunity for more downtime, and time on a beach or in a hammock is a great opportunity to pick up a book. For financial advisors, this downtime can be used strategically to enhance professional knowledge. Staying well-read helps advisors stay ahead of market trends and evolving client expectations, and engage in […]

Unlocking Your Future: Top Tips for Advisors Switching Broker-Dealers

Deciding to switch from one broker-dealer to another can be a game-changer for financial advisors. The process, however, can be daunting and filled with numerous considerations. To help you navigate this transition smoothly, here’s a guide focusing on four key areas to evaluate when considering potential new firms. 1. Path for Growth Growth is frequently […]

[Updated] Atria Advisors Need To Control The Conversation In Acquisition

It’s been a few months since we first posted this story and we’ve spoken with a ton of advisors who are weighing their options.  Here are a few quick learnings (and an invitation to reach out for a more personalized consultation). It has been widely reported and we are seeing it too, LPL is offering […]

Growing Your Practice The Cal Newport Way

[Prefer to listen to this story instead?  Click here.] Like so many we’re caught up reading Cal Newport’s latest New York Times bestseller, “Slow Productivity.”  Subtitled, “The Lost Art of Accomplishment Without Burnout,” Newport proposes that a path exists for true life quality AND high-level achievement (and that running yourself into the ground doesn’t have […]

15 Things You Can’t Afford To Overlook When Considering A Move To A New Broker-Dealer

15 things to consider when moving to a new BD

1. Who Owns the Client: The Advisor or the Broker-Dealer? Understanding client ownership is crucial. If the broker-dealer owns the client relationships, transitioning away in the future might be more complicated. Ensure you have clarity on this to maintain control over your book of business. 2. When Was the Last Time the Broker-Dealer Changed the […]

Asking for Referrals the Nike Way

Asking for referrals the nike way

In the world of financial advising, referrals are a powerful tool for growth. However, many advisors struggle with asking for them. Understanding the dynamics of referrals is crucial, and the traditional 20/20/60 rule provides a useful framework: 20% of your clients are eager to refer you, 20% will NEVER refer you for reasons that have […]

Time Management Tips For Financial Advisors

Time Management Tips For Successful Advisors

As a financial advisor, effective time management is essential for maximizing productivity and achieving your business goals. Here are some time management strategies that can help you be more productive and efficient: Prioritize Tasks Identify the most important tasks you need to accomplish each day and prioritize them based on their level of importance and […]

5 Ways To %&^@ Up Your Transition

While our goal is to be as positive as possible on our blogs and podcasts about transitions, the truth is now and again we come across situations where people have majorly screwed things up for themselves. In the spirit of learning from other’s mistakes (and maybe laughing just a bit), here are 5 ways to […]

The Perils Of Outside Business Activity

Another FINRA classic when it comes to enforcement action; and this time the spotlight shines on William D. Williford, a seasoned financial advisor with nearly half a century of experience at Morgan Stanley and its predecessor firms. Opting to conclude his illustrious career rather than engage in a legal battle with the Financial Industry Regulatory […]