Tools - Guides

Small Market Broker-Dealers: The New Reality

Small Market Broker-Dealers: The New Reality

18 Oct 2017

Acquisition or Affiliation May Be the Choice Small business owners face many challenges, and this is certainly the case for owners of regional broker-dealers. This paper addresses the challenges impacting regional broker-dealer owners, and examines how affiliating as...

The Ultimate Guide to Hiring Staff

The Ultimate Guide to Hiring Staff

14 Aug 2017

Professional support staff help advisors with administrative, marketing and financial planning activities. To remain competitive, advisors must service their existing client base and meet financial planning objectives. Having support staff frees advisors from administrative and technical details so they can...

Associate Advisor Compensation Guide

Associate Advisor Compensation Guide

10 Aug 2017

This guide will help you create a compensation plan that is right for your firm based on what you can realistically afford.

New Assistant Training: Financial Planning and the Financial Planning Process

New Assistant Training: Financial Planning and the Financial Planning Process

09 Aug 2017

This guide will help new assistants learn the six components of financial planning and how they can help advisors in these areas.

Corrective Action and Performance Improvement Guide

Corrective Action and Performance Improvement Guide

09 Aug 2017

Performance improvement meetings can be daunting for any manager due to the confrontational nature, but they are necessary to support business needs and goals and can take place quickly and efficiently by following guidelines.

Inside the Super Branch Model: Why It Works for Managers and Advisors

Inside the Super Branch Model: Why It Works for Managers and Advisors

13 Jul 2017

The financial advisory business is in the midst of great change. Increasing regulations, evolving technologies and new competitors are altering the landscape in ways few would have thought possible just a few years ago.

Raising Your Fees

Raising Your Fees

05 Jun 2017

In light of the Department of Labor’s duciary rule, most advisors will need to raise fees due to compensation restructuring of advisory products and platforms. Don’t hesitate to reflect the true value of your services.

Next Gen Guide

Next Gen Guide

05 Jun 2017

Crafting a compelling value proposition around the services younger clients want and need result in increased brand awareness, referrals and new ideal clients to your practice.

Creating Your Unique Value Proposition

Creating Your Unique Value Proposition

05 Jun 2017

As a financial professional, one of your most important tasks is to find a way to stand out — to differentiate yourself from others in your profession. One of the best ways to do this is by creating your own...

Getting the Most Out of Coaching

Getting the Most Out of Coaching

05 Jun 2017

Advisors who participate in a coaching program realize a dramatic improvement in the quality of their practice, an increase in productivity and greater satisfaction knowing they are on a path to achieve their most important goals.         ...

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