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

UBS to pay $3.5M fine for failing to monitor frequent trades

Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.

By Dan Shaw
Reporter

December 19
Tax

The big value — and tax savings — of personal goodwill

The asset sales carry complexity requiring careful thought and expert advice, but they could prove beneficial to some wirehouse breakaways or RIA succession plans.

By Tobias Salinger
Chief Correspondent

December 19
Investment strategies

New TIFIN Give feature allows for public DAF campaigns

In time for the season of giving, the new functionality allows those on the philanthropic planning platform to encourage others to join them in supporting causes they care about.

By Rob Burgess
Reporter

December 18
Professional development

How emotional intelligence is at 'The Heart of Finance'

A former veteran UK-based planner and a behavioral analysis expert penned a practical guide for financial advisors on implementing "EI" into their practices.

By Tobias Salinger
Chief Correspondent

December 18
Politics and policy

5 financial planning topics to bring up with clients in 2025

Health issues. Death. Politics. Some topics make for uncomfortable conversations, but financial advisors need to have them anyway.

By Nathan Place
National Reporter

December 17
Regulation and compliance

Raymond James and advisor trio liable for $5.2M in raiding case

The case stems from Raymond James' recruitment of the $2.8 billion Wise Advisor Group from Baird, which also landed a penalty for a broker protocol violation.

By Dan Shaw
Reporter

December 16
Regulation and compliance

Merry Christmas, from FINRA: Home office updates due Dec. 26

The deadline is fast approaching for brokerages to register home offices for employees performing supervisory functions.

By Dan Shaw
Reporter

December 13

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.