Is Your Prospecting Process FINRA-Proof?
A 5-point checklist to see if your current client acquisition strategy is creating hidden audit risk. If you’re a financial advisor, RIA, or broker-dealer, you already know this: getting new clients isn’t just about being good at what you do—it’s about getting seen, heard, and chosen. In today’s ultra-competitive, tech-driven landscape, relying solely on referrals […]
The Hidden 8 bp Tax You’re Paying for Bad Data
Practical fixes to erase margin drag and free up 10+ advisor hours every single week. Most financial firms don’t realize how much time—and money—they’re losing until it’s gone. Not from bad hires, bad clients, or bad markets…But from badly integrated tech. You know the setup:Client data lives in one system. Notes are in another. Your […]
That “Minor” Tech Glitch…
Why small operational failures are the leading indicator of eroding client trust—and how to fix them before it’s too late. In a world where client expectations are rising and regulations are tightening, technology is no longer a “nice-to-have” for financial firms—it’s your competitive edge. Whether you’re an independent RIA, a mid-size broker-dealer, or a fast-growing […]