Practice and Client Management News

Financial Planning's Practice and Client Management coverage includes essential advisor-level strategy and operational insight for firms and solo practitioners. Read how elite advisors build retention-driven practices, manage high net worth relationships and operationalize growth frameworks that go beyond rudimentary 101 topics. Learn the latest financial planning news from expert reporting and analysis that matters to industry leaders.

Investment strategies

For investors, government shutdowns are losing their shock value

Over the weekend, Congress approached and then retreated from fiscal armageddon. Wall Street's response: Whatever.

By Nathan Place
National Reporter

October 2
What to Expect When You Go Independent

Moving to a new firm may seem daunting. Get the specifics on making the transition, including a timeline and guidance on critical elements such as a communications platform and client portal. Most important: Learn how to make it happen with the autonomy you want, as well as the resources and infrastructure you need.

Partner Insights from Atria Wealth Solutions
Wealth Think A CFO to-do list for the remainder of 2023

Investing in AI, working in lockstep with sales and keeping finance execs onboard will fuel profitable growth in the long term.

October 2

Jim Caci

AvePoint
Professional development

Two must-have client conversations for college planning: 529s, FAFSA

As college application season begins, advisors can help parents with these two important yet sometimes overlooked financial tools.

By Victoria Zhuang
Reporter

October 1
Tax

11 tax tips on mortgages and homeownership

A half dozen experts shared advice for financial advisors and clients who are buying, selling or refinancing homes.

By Tobias Salinger
Chief Correspondent

September 29
Regulation and compliance

Citi to pay $2M for failing to mail disclosures, SEC says

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.

By Austin Weinstein

September 29
Regulation and compliance

Latest WhatsApp sweep shows value of cooperating with SEC

Perella Weinberg's self-reporting of violations led to a much smaller fine than those imposed on other firms.

By Dan Shaw
Reporter

September 29

Resources

The latest Financial Planning research and discussion:

Advisor strategies
On-Demand Web Seminar Quarterly Outlook Briefing
Web Seminar The art of asking questions

Asking the right questions is at the heart of every meaningful financial conversation—but how do you know what to ask and when?

Partner Insights from eMoney Advisor
Web Seminar Unlock your potential: Monetize and maintain your independence

Did you know you can monetize, simplify and preserve your legacy, all while bridging to the next generation? Most will wonder "what's the catch?"

Sponsor Content from LPL Financial

Practice & Client Management: Key Questions & Analysis

How should financial advisors rethink client management as they grow their practices?

As advisory firms grow, client management often shifts from ad-hoc relationship handling to processes focused on segmentation, service models and long-term retention. Coverage in this area reflects how advisors are operationalizing client experience as a core business discipline.

What operational challenges are most important in advisor-client relationships?

Advisors face increasing pressure from capacity constraints, rising client expectations and the need to balance personalization with scale. Practice and client management reporting highlights where firms are finding success to maintain service quality while expanding.

How are advisors adapting communication strategies to changing client expectations?

Client communication strategies are evolving as advisors respond to demographic shifts, digital expectations and heightened demand for transparency. Read how firms are adjusting cadence, channels and messaging.

How does client management impact long-term practice value?

Effective client management is often viewed as a driver of enterprise value. Client management is a key area of focus for retention, referrals and succession outcomes. Learn how client experience strategy directly to firm durability and valuation.