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.

Regulation and compliance

FINRA steps up Reg BI enforcement with excessive trading case

A pair of Laidlaw & Company brokers will have to pay nearly $150,000 in restitution and fines for failing to put their clients' interests ahead of their own.

By Dan Shaw
Reporter

February 6
Fintech

YieldX CEO Adam Green on why advisors should cheer FNZ's acquisition

The fintech founder is extending an entrepreneurial hotstreak that started with milk and cookies in college.

By Justin L. Mack
Former Wealthtech Reporter

February 6
Wealth Think How much portfolio access is too much for clients?

Used correctly, wealth management technology has the potential to improve the experience for clients and advisors alike.

February 3

Patrick Noonan

Advisor360°
Politics and policy

House finance diversity panel gets axed by new leadership

Democrats contend Finance Committee Chair Patrick McHenry has made the regulation of digital assets a priority over industry diversity.

By Dan Shaw
Reporter

February 2
Fintech

eMoney readies advisors for filing season with addition of new tax planning features: Wealthtech Weekly

Upgrades to eMoney Advisor allow advisors to demonstrate Roth conversions and support SECURE Act 2.0 changes.

By Justin L. Mack
Former Wealthtech Reporter

February 2
Wealth management

Ask an advisor: We just got married. Should we combine our finances?

Two newlyweds in New York share everything but their bank accounts. Are they missing out on financial benefits?

By Nathan Place
National Reporter

February 2
Top 40 Under 40

These are the top 40 regional brokers under 40 in 2023

Financial Planning announces its 2023 class of the top 40 most productive employee brokers under age 40 at regional firms.

By Victoria Zhuang
Reporter

February 1

Resources

The latest Financial Planning research and discussion:

Web Seminar A holistic approach to delivering advisor alpha

Markets will move. Strategies will evolve. But the real differentiator? How you show up for your clients.

Partner Insights from eMoney Advisor
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

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.