Identity Deception: What Financial Professionals Need to Know
Identity deception is the deliberate use of an AI-generated voice or conversational agent to make a phone caller believe they are speaking with a real person when they are actually interacting with an AI system. Below is a first-hand account of why financial professionals need to be aware of this practice. Last week I invited […]
How AI Is Changing How Investors Find and Vet RIAs
A few months ago, I typed a question into ChatGPT that I would normally have Googled. Instead of getting a list of links, I got an answer—confident, specific, and pulled together from sources I probably never would have clicked on. That’s when it dawned on me: the way people find information has changed. And financial […]
How to Start an RIA Firm on a Budget
Going independent is one of the most rewarding moves an advisor can make. The benefits of going independent are clear: control over your advice, ownership of your client relationships, flexible pricing, and the ability to build real enterprise equity. Instead of fitting clients into a platform, you build a platform around your clients. That independence […]
Don’t Let Your Brand Drown in a Sea of Prompts – Three Financial Firms That Got it Right
I’ve spent a long time arguing that most wealth management firms — especially small to mid-sized RIAs — do a terrible job of differentiating themselves. Years ago, I wrote about what I call “me-too branding”: the habit of mimicking competitors, defaulting to generic messaging, and blending into a landscape where every firm says the same […]
Is Your RIA Ready for the 2026 Annual IARD Renewal?
Is Your RIA Ready for the 2026 Annual IARD Renewal? The 2025 annual IARD renewal period is officially underway, and now is the time to start preparing—for both your firm and your investment adviser representatives. Staying on top of your registrations and renewal fees is critical to avoid any disruption in your firm’s or your […]
Naming Your RIA Firm: How to Choose the Perfect Name
RIA Firm Naming 101 Coming up with the perfect brand name for your investment advisory firm is often a lot harder than it sounds. But when you take the time to understand the types of brand names that exist, you’ll be able to navigate the name game a little easier. Whether you’re registering a new […]
RIA Firm Logo Design: Why Your Mark Matters More Than You Think
RIA Firm Logo Design 101 First impressions matter—especially in the world of financial advising where trust, professionalism, and credibility are everything. For Registered Investment Advisor (RIA) firms, a thoughtfully designed logo isn’t just a nice-to-have—it’s a key part of building a brand that attracts and retains clients. Your logo is often the first visual touchpoint […]
The Four Most Important Marketing Pages on Your RIA Firm’s Website
Having a website for your RIA firm is essential. But just how critical is it for growing your firm? According to a recent eMoney Consumer Marketing Survey, 98% of respondents indicated that a firm’s website played an important role when choosing a financial advisor. This finding should be pretty eye-opening to any investment advisor who […]
Why RIA Firms Should Avoid Me-Too Branding
Developing a brand is one of the most important steps to ensure your RIA firm’s success. Still, many investment advisors fail to allocate the time and resources necessary to develop an identity that accurately reflects their firm. Instead of embracing the brand-building process as an opportunity to position the firm’s uniqueness and gain a competitive […]
Transitioning Your RIA Firm Registration from State to SEC: What Every Investment Adviser Needs to Know
Many investment advisers want to grow and scale their RIA firms. In our last article, we focused on outlining a few steps you can take to grow your firm’s business organically. In this article, we are going to walk you through the process of transitioning your RIA firm from a state registration to an SEC […]