Wealth Think

RIAs are embracing the idea of shaping their compliance procedures around what could go wrong.

Client satisfaction and loyalty are poor indicators of a likelihood to refer. Julie Littlechild, President of Advisor Impact, de-mystifies the process for advisors attending the FPA Business Solutions Conference 2011.

"When you practice Sales Intelligence, you’ll win twice the business of those who ‘wing it,'" according to ActiFi's Sam Richter. "You’ll ensure relevancy and impress any client, any prospect, every time."

Private sector job growth continues its upward trajectory

“More banks do not have licensed bankers than have them,” according to recruiter Rick Rummage. “Every bank should have them and license them.”

With JPMorgan rumored to be eyeing a minority stake in Twitter that would value the company at $4.5 billion, it’s time for advisors to start taking it seriously. Not surprisingly, like many other aspects of web-marketing and social media, how an advisor uses Twitter is different from most everyone else.

Even if you outsource stock picking, or buy only mutual funds, somebody somewhere has to select stocks.

The more you hear about the SEC examination process, the more you realize that the examiners can't quickly recognize the honest advisors from the crooks, and are generally more interested in finding fault with the honest advisors than identifying the crooks.

When the call comes from compliance that your branch examination is imminent, some advisors decide it’s time to take a vacation while others take the vapors. But branch exams should not be stressful or painful – if you follow these basic steps and integrate them into your practice.

Why not tap into your affinity with clients to create a powerful marketing message, and solidify your hold on that group?