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 […]
Can You Use AI to Write Your RIA’s Marketing Content?
Can You Use AI to Write RIA Marketing Content? Yes, but the SEC Marketing Rule doesn’t care whether a human or an AI tool drafted your content — it cares whether the content is fair, balanced, and substantiated. If your firm is using ChatGPT, Claude, or any other AI tool to draft blog posts, social captions, or client-facing materials, that content is subject to the exact same review, approval, and recordkeeping requirements as anything written in-house. The tool changes. The compliance obligation doesn’t.
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 […]
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 […]
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 […]
How RIA Firms Can Develop a Content Marketing Strategy that Nets New Clients
When it comes to attracting new clients for your RIA firm, content is king. According to research conducted by Demand Metrics, content marketing costs 62% less than traditional marketing and generates about three times as many leads. The fact is, nearly every person who uses the internet is looking for answers. And it’s a safe […]
How to Grow Your RIA Firm Organically Using Proven Practices
What is the best way to grow your startup RIA firm? Before we answer that question, it’s important to first understand that there are two primary methods to scale your registered investment advisor (RIA) firm. These two growth channels are defined as organic and inorganic processes. Business growth from the organic process is homegrown. It […]