At the PLANADVISER 360 Conference in Scottsdale, Arizona on November 13, retirement plan advisers shared actionable strategies for attracting new clients, opening the dialogue with them, and ...

Where a CAB recommends a securities transaction to an eligible employee who qualifies as a retail customer under Regulation Best Interest or a retail investor for Form CRS, the CAB must comply with ...

This voice experience is generated by AI. Learn more. This voice experience is generated by AI. Learn more. Retaining misaligned or energy-draining clients is detrimental, actively draining resources.

Some firms employ client relationship managers to support financial advisers and their clients. Specific duties can vary between firms but the role tends to be a mix of customer-facing and back-office ...

Early in my CPA career, I fell into the trap many of us know too well: measuring success by email response times and completed checklists. It wasn't until a health crisis after my pregnancy that I ...

Advisors explain why abusive behavior, fee haggling, and broken trust cost more than lost revenue.

In a time when law firms are searching for sustainable ways to grow, it's time to reexamine whether your client relationship partners are truly set up to direct and lead—or merely expected to manage ...

In today’s rapidly evolving financial services landscape, traditional client portals—once simple document repositories—are no longer sufficient. Modern portals are dynamic platforms that enhance ...

When you consider the last five years in the financial planning industry, what are the big topics that come to mind? What about the last 10 years? For me, technology is at the top of the list. We’re ...

This week’s episode of HBO’s Ballers serves as an extreme example of how not to handle client relations and the dangers of failing to maintain professionalism. (Warning, spoilers ahead.) Most advisors ...

Addressing attorney-client relationship formation and legal malpractice, the US Court of Appeals for the First Circuit reversed in part, vacated in part, and remanded a district court’s grant of ...