Financial Advisor Blog - Page 7 - Financial Advisor Transitions

The Case for RIA Errors and Omissions Insurance

September 16th, 2025

Registered Investment Advisers (RIAs) face growing exposure to negligence claims. While the law does not mandate Errors and Omissions (E&O) insuran...

Baird and Sagard Form Partnership to Expand Access to Alternative Invest...

September 15th, 2025

According to InvestmentNews, Canadian alternative asset manager Sagard and U.S. broker-dealer Baird recently announced a strategic partnership aime...

Big Banks Double Down on Cross-Selling Wealth and Banking Services

September 12th, 2025

At the Barclays Global Financial Services Conference, executives from Bank of America and Wells Fargo highlighted the continued importance of lever...

NASAA Approves Amendments to REIT Guidelines to Strengthen Investor Prot...

September 11th, 2025

The North American Securities Administrators Association (NASAA) has approved sweeping amendments to its Statement of Policy Regarding Real Estate ...

Tips to Build Relationships at Nonprofit Events

September 10th, 2025

September marks the unofficial start of gala season in the nonprofit sector, bringing together high-net-worth individuals, community leaders, and p...

Next-Generation Investors Poised to Leave Advisors Amid Wealth Transfer

September 9th, 2025

Years of effort by financial advisors to retain younger heirs during the "great wealth transfer" have yet to produce the intended results.

CFP Professional Report Higher Compensation and Strong Career Satisfaction

September 8th, 2025

Financial planners holding Certified Financial Planner (CFP) certification earn more and report stronger career satisfaction than their non-certifi...

Rising Attrition Threatens RIA Succession Planning

September 5th, 2025

According to AdvisorHub, a growing number of registered investment adviser (RIA) firms are reporting higher levels of adviser attrition, according ...

Wealth Concentration Pushes Advisors Toward Family Office Services

September 4th, 2025

As wealth concentration accelerates in the United States, financial advisors increasingly are expected to provide "white glove services" similar to...

How Financial Advisors Can Respond When Prospects Say, "I Already Have a...

September 3rd, 2025

For many financial advisors, the question "What do you do?" often leads to an awkward exchange. The moment you respond, "I am a financial advisor,"...