The wealth management industry has become a data-driven business. From client segmentation to behavioral analytics, firms…
Tag: client
Judge Orders Review of LPL Advisors Devices in Ameriprise Client Data Dispute
A federal judge ordered that nearly 30 financial advisors who moved from Ameriprise to LPL and…
Schwab’s earnings rise on client assets
Charles Schwab rose after the company reported second-quarter earnings that topped estimates as client assets hit…
Innovative CPA Group Launches RIA To Capture Client Wealth Management Demand
The Innovative CPA Group, a Shelton, Conn.-based accounting firm, is taking a page from large registered…
New scams, new weapons from the IRS to fight client ID theft
The Internal Revenue Service and its Security Summit partners are renewing warnings to tax professionals about…
Overcoming Client Reluctance in Uncertain Times
I’m hearing more these days about agents encountering reluctance among prospects to meet and clients to…
Seize 40 Million Client Opportunities in Key Life Events
The life journeys of clients and prospects are full of opportunities to lead with proactive, client-centric…
Understanding the Client Retention Hurdle in RIA Sales
In my years traveling the country to work on M&A transactions in the wealth management space,…
Using AI to write that client email? Think twice.
Advisors are increasingly taking advantage of generative artificial intelligence. And not just in the back-office, but…
3 tips to keep client market discipline in hyperpartisan era
When it comes to the markets, investors have always been influenced by their political views. But…
RIA Industry Hits Record Number of Firms, Client AUM
The registered investment advisor industry hit several record highs in 2024, including for the number of…
Charles Schwab High Net Worth Client Pulse Survey Finds Affluent Investors Are Continuing to Gift Their Assets Despite Economic Uncertainty
Among High Net Worth clients making gifts in 2025, 25% plan to give more compared to…
A Financial Advisor Video Marketing Strategy for Client Growth
After a recent presentation on video marketing for financial advisors, an advisor in his late 40s…
The Diamond Podcast For Financial Advisors: SpirePoint Private Client
This episode features a few plot twists that differentiate it from the typical wirehouse breakaway story.…
Ex-Advisor Gets 3 Years Prison, Must Pay $4.15M for Client Fraud Scheme
A former financial advisor previously barred from the industry by FINRA will spend three years in…
Notion releases an AI-powered email client for Gmail
Notion released Notion Mail, an AI-powered email client for Gmail that integrates with the rest of…