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

Commonwealth wins appeal of $93M SEC penalty ahead of LPL purchase

A court of appeals agreed with Commonwealth's contention that a jury should decide if investors were harmed by investment disclosures allegedly withheld from them.

By Dan Shaw
Reporter

April 2
Professional development

Advisors with CIMA, CPWA and RMA marks have more income and AUM

Experts say those survey results simply reflect successful and experienced teams, but the alphabet soup of certifications presents tough choices for current and aspiring professionals.

By Tobias Salinger
Chief Correspondent

April 1
Diversity and equality

Do clients trust you? Depends on who they — and you — are

Age, gender, and race can all play a role in how clients view relationships with their financial advisors, according to new research from the TIAA Institute and MIT AgeLab.

By Elijah Nicholson-Messmer
Data Reporter

April 1
Retirement planning

A job-hopping slowdown could be a boon for retirement savings

Wage growth for job-hoppers is on the decline, but financial advisors say that might be a good thing for long-term retirement savings.

By Elijah Nicholson-Messmer
Data Reporter

March 28
Wealth management

How advisors can help clients with opioid use disorder

Experts say financial advisors can play a critical role for clients who are in the throes of addiction and those sifting their way through the often-challenging recovery process.

By Rob Burgess
Reporter

March 27
Wealth Think Texting is the new email for RIA client transitions

Delivering documents via SMS can smooth a stressful process, reinforce advisor-client bonds and keep firms on the windy side of industry regs.

March 27

Nick Bernardo

OnBord
Professional development

Fiduciary standard drives client trust in advisors: Cerulli research

Affluent clients report much greater satisfaction with their current financial advisor if they adhere to the fiduciary standard, according to new research from Cerulli.

By Elijah Nicholson-Messmer
Data Reporter

March 26

Resources

The latest Financial Planning research and discussion:

Advisor strategies
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.