Gathering client data upfront is a critical, but often unnecessarily difficult, first step of any financial advisor-client relationship. Too often, wealth management firms still rely on spreadsheets, ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

You can probably tell when your clients are drowning in too much information. Daily bombardments of intra-day trading figures, predictions of doom from TV experts who have no personal stake in the ...

Creating a base of loyal clients and customers who come back to purchase goods and services after an initial purchase is essential for small businesses to be successful. Remembering who clients are ...

Among the biggest challenges advisors face is simply getting the data needed to execute a client’s financial plan. Without information to enter into the planning software, it’s impossible to ...

A strong onboarding process helps financial advisors gather critical client information, set expectations, define services, and build trust from the start.

A data breach last month has landed Mercer Advisors in court with a putative class-action suit that contends the prolific RIA acquirer failed to adequately protect private client data. Processing ...

New York, August 21, 2013 – Bloomberg L.P. today released a report resulting from an external review of the company’s client data policies and procedures, led by the law firm Hogan Lovells and the ...

You walk into your office on a Saturday morning during tax season to find a staff member waiting for you with sweaty palms and a look of terror on her face. She takes ...