Literature Category: Practice Management

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RIA Productivity and Profitability: Integration Pays
White Papers
Format: pdf
Publication Date: 08/13

When comparing registered investment advisors (RIA) practices that have similar team sizes, practices with some level of technology integration have, on average, more than double the amount of client assets had by practices without technology integration.

Outsourcing: Drive Growth and Profitability, Focus on Core Competencies - Updated 2015
Industry White Papers, White Papers
Format: pdf
Publication Date: 07/15

Registered investment advisors, tasked with making money for their clients, also must be mindful of their own bottom line.1 Those who are most successful are particularly adept at marshalling their resources to concentrate on revenue-generating activities. According to a recent study, 75% of their efforts comprise managing investments, expanding existing client relationships, and garnering new opportunities. Rather than becoming entrenched in the quagmire of time-consuming administrative, compliance, training, and back-office tasks, they mobilize outsourcing services to manage them, so they can stay focused on serving clients and increasing profits.

Let's Talk About Fees: Why transparency can help build trust with clients
Format: pdf
Publication Date: 11/13

This presentation discusses the approach to talking about fees with clients, who may have misconceptions about those fees. As an RIA or IAR, you are a financial fiduciary and must adhere to the highest ethical standards in the financial services industry. You must explain the service you provide and what services your client receives for your quarterly fee, including the bundled and continuous investment advice and service. As a result, you are paid by your clients to achieve their goals, not by third parties (broker‐dealers, mutual fund companies) who may have other objectives.

Infographic: Enhancing the Advisor's Value Proposition
Misc Downloads, Educational Materials
Format: pdf
Publication Date: 12/16

Ten ways to become an essential advisor.