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Choosing a Custodian  |  Craig Iskowitz  |  Financial Advisors  |  Investment Advisors  |  Joel Bruckenstein  |  Wealth Management  |  Wealth Management Technology

10 Questions to Ask Before Choosing a Custodial Relationship

Choosing a custodian relationship is one of, if not THE single most important decision any new registered investment advisor must make. It should not be taken lightly. There are many custodians in the marketplace - not all will be the right fit for your business. To explore the process of choosing the best custodial relationship, I had the opportunity to catch up with industry experts and thought leaders Joel Bruckenstein and Craig Iskowitz to have them weigh in on the top questions they believe breakaways or new RIAs should consider asking potential custodians.

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AdvisorEngine  |  Financial Advisors  |  On-Boarding  |  Technology  |  Wealth Management  |  Wealth Management Technology

Top 4 Reasons Why the Wealth Management Industry Needs to Develop its Digital Capabilities

Everything nowadays is all about the “experience.” Why should wealth management be any different? It shouldn’t be. Advisors should strive to provide clients with exceptional financial experiences.  Unfortunately, we find that within the realm of the wealth management industry, the financial experience process has been slow to catch up with 21st century standards.

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Accountability in Wealth Management  |  Collaboration in Wealth Management  |  Financial Advisors  |  Leadership in Wealth Management

What Does Strong Leadership Look Like Within Wealth Management?

I’m a data quality specialist. I work with wealth management firms every day to ensure that their information is accurate and accessible on the AdvisorEngine platform. However, it’s not all about facts and figures. As any good financial advisor knows, success in wealth management requires ‘intangibles’ such as good leadership.    Below is my perspective on what good leadership means, and how to know if your leadership is translating to the rest of your team. I apply these to our data quality team, but these ideas are applicable across a wide variety of organizations and goals.  I hope you find it thought-provoking. 

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AdvisorEngine  |  Financial Advisor Mistakes  |  Financial Advisors  |  Technology  |  Wealth Management

4 Mistakes I Made as a Financial Advisor

A long time ago (in a galaxy far, far away) I was a financial advisor.  I’m proud of many things that I achieved - but with the benefit of hindsight, I realize that there are some things I could have done differently.  I’ll share with you now the biggest mistakes I made as a financial advisor and how to avoid them. My hope is that this will serve as valuable advice for those in the advisory role and also as a guide for those who are seeking financial advice.

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Compliance  |  Financial Advisors  |  Investment Advisors  |  Wealth Management

Compliance for Financial Advisors: A Regulatory Year in Review

This year the SEC provided a steady stream of guidance illustrating which compliance and governance programs worked and which ones fell short. To help you plan for 2020, we have distilled the highlights in this Regulatory Year in Review. As you study enforcement cases, rule proposals and risk alerts, you’ll see there are trends for RIAs to consider in the year ahead.

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Blog Feature

AdvisorEngine  |  Digital Advice  |  Financial Advisors  |  Technology  |  Women in Wealth Management

Celebrating Carly de Diego, our Chief Client Officer

I feel fortunate to work with Carly de Diego. She brings positivity and intensity to her role as Chief Client Officer. Her leadership directly benefits the wealth management firms that use our technology every day. So it’s well-deserved that Carly is getting some industry attention. Just this week alone, she  was interviewed by leadership publication Authority Magazine and received special recognition from a group called NYC Fintech Women.

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