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

MassMutual’s IBD settles case as industry awaits the SEC’s next move

MML Investors Services allegedly breached its fiduciary duty in the same way that the regulator has alleged that more than 100 other firms have in recent years.

By Tobias Salinger
Chief Correspondent

September 13
RIAs

New RIA uses social media to boost access rather than penny stocks

Financial advisor Andre Jean-Pierre dropped his broker-dealer with big plans for his burgeoning group of followers on Twitter and Clubhouse.

By Tobias Salinger
Chief Correspondent

September 8
Industry News

Eyeing advisory-focused turnaround, midsize firm hires new president

Penn Mutual-owned Hornor, Townsend & Kent has completed an executive shakeup after its advisor headcount fell by 10% last year.

By Tobias Salinger
Chief Correspondent

September 7
Wealth Think ‘Why’ before ‘how’: The right-way-round approach to advisor marketing

A 3-step process can get the planner in touch with their professional and personal origin stories before mastering social media technology.

September 7

Tara Meehan

Meehan Marketing
RIAs

Where did RIAs move to during the pandemic?

SmartAsset looked at nearly 11,000 financial advisory firms that are registered with the SEC and headquartered in the U.S.

By Cynthia Fernandez
Reporter

September 2
Wealth Think Closing the communication gap on the value of tech

Technology is key to how advisors work today, and it has to be understood by clients to get max value.

August 30

Peter Dorsey

Altruist
Editor's Pick

Financial advisor vs. planner: what's the difference?

For regulatory purposes, anyone can call themselves an advisor or planner. Professionals in the industry want to change that to enhance the client experience.

By Lily Wolfson
Summer Reporting Associate

August 27

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.