Insights

By Jules Galbraith, Manager of Advisor Experience / Long hold times, calls answered by a new person who is reading a script, blind transfers, and more are happening at what feels like a higher frequency – we have all been there. Calling into a service team these days can be an exercise in patience. More than 65% of people have higher expectations for customer service today than they...

By Verne Marble, Director of Business Development / Background RIA firms bring valuable resources to affiliated advisors, which is why many advisors choose to align with an established RIA versus starting their own. Some examples of these resources may include things like a compliance infrastructure, a defined technology stack, relationships with multiple custodians, practice management expertise, and perhaps an internal investment management platform (i.e., outsourced solution for advisors)....

By Anne Mortera, Director of Advisor Growth & Engagement / The world of virtual business that most of us have encountered these past few years has led to ease of connectivity in a lot of regards, but 95% of people still agree that better business comes from person-to-person networking.[1] As we lean into more face-to-face interactions, it’s important to dust off our networking skills and learn how to be memorable...

By Kelly Coulter, Director of Marketing / Private Advisor Group conducted an open poll at the onset of 2022 and asked which resolution was top-of-mind for our thousands of followers in the new year. 44.6% replied that “self-care” would be their top focus. What self-care practices should you employ? We tapped into our community of financial professionals to get self-care tips with a financial spin. Here’s what...

By Jim Hooks, Managing Director, CCO / As a core component of every compliance program and as required by Rule 206(4)-7, wealth management firms are required to adopt and implement written policies and procedures that are tailored to the business of the firm.  To meet a firm’s regulatory requirements and to be in alignment with the written policies and procedures, firms are expected to have sufficient compliance...

By Melissa Woods, Marketing Associate / Part of being a successful financial advisor is continuing to devote yourself to improvement. You want to achieve better results for your clients, help your employees achieve their career aspirations, and in general, help your financial firm become all that it can. There are so many avenues to focus on, including marketing, personal development, strategy and even formal continuing education,...