The AdvisorEngine Blog

Compliance | Financial Advisors | Investment Advisors | Wealth Management

Regulatory Deadlines and Guidelines for Wealth Management Advisors for 2020

By: Beth Haddock February 20th, 2020

It’s that time of year again - time to prepare for your annual Form ADV Review. Disclosures to clients and prospects are even more important this year in light of new requirements announced last summer. This is arguably the most important compliance project for the quarter.

How to Adopt Wealth Management Technology

By: John Haas February 13th, 2020

Technology is shaking up the way industries do business. While the financial service industry has been somewhat slow to adopt new technology, it now plays a leading role in the ecosystem. There are many different tools that independent advisors can use to improve client services and maximize profitability.

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CRM | Financial Advisors | Junxure CRM | Wealth Management

CRM Best Practice: How Advisors Can Capture Better Information

By: Robin Zeratsky February 7th, 2020

As a financial advisor, it’s important to log every interaction you have with a client - whether it’s a brief email, a phone call or an entire planning meeting - all part of client relationship management (CRM) best practices. What can be hard to decide is how much information you put in each one of these notes. On the one hand, sharing an entire wall of text can be confusing when you need to go back and reference it. On the other hand, a short sentence of, “Had financial planning meeting,” is equally unhelpful.

How RIAs Use Technology to Grow and Scale

By: Dan Lang January 31st, 2020

I’m fortunate to work with highly motivated and passionate independent advisors. When I’m meeting with them, I get the opportunity to hear about the firm-level strategic goals they’re focused on. Unsurprisingly, many of these strategic goals are only possible through technology. Modern technology is creating new ways for RIAs to drive growth, achieve efficiency, ensure client-centricity, build trust and enable compliance. Here are five things to consider when adopting new technology and how it could benefit your firm:

10 Questions to Ask Before Choosing a Custodial Relationship

By: David Coyle January 21st, 2020

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.

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

By: Dan Lang January 15th, 2020

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.