Insights For Advisors

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RIA Washington Watch: A new Washington, a fresh outlook on advisor issues
Amid uncertain priorities, Schwab’s Washington insider, Michael Townsend, offers his view on how the incoming administration is likely to reshape the future of advising.

Get inspired: See how this year’s IMPACT Award® winners serve clients and fuel growth
Every year, Schwab recognizes select advisors at the forefront of pushing the RIA model forward. See how the four firms honored in 2016 are raising the bar on serving their clients–and their communities.

RIA Washington Watch special edition: Trump's upset win a new era for advisors?
What does Trump's victory mean for advisors? Schwab’s Washington insider, Michael Townsend, offers his view on potential shifts in policy and regulation.

6 smart strategies to help stressed-out clients focus on retirement
MIT AgeLab’s Dr. Joseph F. Coughlin offers tools for getting time-crunched clients to engage and take action.

RIA Washington Watch: Regulation, legislation, and the election―Impacts for advisors
In advance of the most contentious presidential election in memory, Michael Townsend reviews the status of regulatory enforcement, challenges to the DOL ruling, and the implications of upcoming political transition for advisors and investors.

3 societal trends impacting your business—and what to do about them
An abundance of information and options has changed the way we communicate with each other and the world. Understanding this evolution is crucial for financial advisors as they look to make meaningful connections with clients and investors.

5 steps to fine-tune your EQ and improve workplace performance
Dr. Marc Brackett of the Yale Center for Emotional Intelligence provides a set of tools to hone this skill to build better relationship and enhance team productivity.

Alan Greenspan: What history shows us about market volatility and human nature
Stock returns, interest rates, and economic growth—what do they all have in common? According to former Federal Reserve Chair Alan Greenspan, they all ultimately revert to historical norms because of one immutable force: human nature.

Accelerate your success: How talent development benefits your firm
Find out how sponsorship can enhance your talent strategy.

Regulatory change – and how you can influence it
Both recent and potential regulations could have a broad-scale impact on the independent advice industry, making it more important than ever to ensure your interests are represented in Washington. Learn how you can collaborate with Schwab to help your voice be heard.

Helping you tell your story through powerful new advertising
The independent advisor model works. That's why others are rushing to copy it. Now, you can benefit from a new ad campaign created to help independent advisors stand apart from the competition.

Get found: Building a strong online presence for your firm
In the first article of a two-part series, Mary Rosai, senior vice president of Institutional Services Marketing at Charles Schwab, discusses how RIAs can enhance their marketing presence with clients and prospects in the digital age.

RIA Washington Watch: Breaking down the DOL fiduciary rule
With the long-looming DOL fiduciary rule now finalized, Michael Townsend reviews some of its key elements, possible implications for advisors and retirement plan participants, and the reaction on Capitol Hill.

RIA industry deals at record levels: a look behind the numbers
Understand the mergers and acquisitions landscape and how it might factor into your firm’s strategy for growth and legacy planning.

Hiding in plain sight: Is your office space an untapped asset?
Is your office space moving your firm ahead or holding you back? See how these advisors use their business environments as tools of differentiation, and learn tips for making your own firm's physical space a key component of the client and prospect experience.

RIA Washington Watch: 2015 wrap-up and forecast for 2016
Michael Townsend boils down what advisors need to know about the latest developments in Washington—including the DOL’s proposed fiduciary rule—and shares his legislative and SEC predictions for 2016.

Analysts explain why investors should feel good about 2016
Global, U.S., and political experts offer analysis and strategies to help you navigate investing trends and investor angst.

Forward motion: Accelerating from a position of strength
Bernie Clark reflects on the successes—and industry differentiators—sparking RIA growth and inspiring advisors to continue shaping their legacies.

Money Market Fund Reform
Resources to keep you—and your clients—informed.

The intentional networker: Expanding your centers of influence
Learn how expanding your centers of influence can help you uncover key learnings for your entire team.

RIA Washington Watch: Fiduciary debate heats up
Michael Townsend reports on the ongoing debate in Washington over the DOL's proposed fiduciary rule and shares insight on what advisors can expect in the coming months.

Firm of the Future: Executing a vision for continued success
Independent advisors share perspective on the road ahead for firms and weigh in on the most critical opportunities for RIAs to maintain viability and sustain growth.

Panic Is Not a Strategy—Nor Is Greed
When markets plummet, it’s easy to overreact. Liz Ann Sonders reminds investors to think longer term and avoid hasty tactical asset allocations.

Schwab’s Jon Beatty: Power of the independent advice model
The 2015 Advisor Benchmarking Study shows five years of strong performance by RIAs, fueled by consistent client growth, continued investor demand, and investment returns.

Schwab's Perspective on Recent Market Volatility
It’s been a wild ride for the global markets recently—but volatility doesn’t mean disaster. Get Schwab’s top 7 insights on the current market environment.

Schwab goes to Washington: Advocating for the RIA industry
Schwab Advisor Services and independent advisors visit Washington, D.C., bringing a message of industry awareness and advocacy to Capitol Hill.

RIA Washington Watch: Fiduciary Rule, RIA Exams Remain Contentious Topics
Michael Townsend reports on the ongoing debates in Washington over the DOL's proposed fiduciary rule and various proposals to overhaul the RIA exam process.

How high-performing firms create a culture of growth
A group of advisory firms are consistently out-pacing their peers on assets and revenue growth. Nick Georgis explores game-changing strategies from these high-performing firms.

RIA Washington Watch: POTUS puts spotlight on fiduciary issue
Michael Townsend gives his perspective on key legislative and regulatory issues that could affect advisors, including revived debate over a proposed fiduciary rule.

Unified Identity Helps Macro Advisors Attract Clients
Discover how Macro Advisors developed a consistent brand identity to help share its client-focused approach—and gain a competitive edge.

Implementing CRM - Tools and Resources - Schwab Advisor Services
Learn to identify how CRM software can best help your firm.

Gaining Control by Ceding Control With Outsourcing
Is your company making the most of outsourcing? Learn more about this growing
technology trend and how it can help your firm.

RIA Washington Watch: New priorities for a new Congress
Michael Townsend, v.p. of legislative & regulatory affairs, discusses where the new Congress stands on tax reform, SEC exams, and the fiduciary standard.

RIA Washington Watch: Cooperating Congress, regulatory initiatives, and tax reform
Here are some key updates from Washington that advisors should know about.

How to Make the Most of IMPACT 2014
This year's invitation-only event takes place November 4-7 in Denver, Colorado.

RIA Washington Watch: Why the midterms matter
Access the latest legislative and regulatory news from Michael Townsend.

Women and Financial Independence - Tools and Resources - Schwab Advisor Services
The Women and Financial Independence Study provides some real insights into who high net worth women are, and what they are seeking from their advisors.

Serving Tomorrow's Clients
Bernie Clark explains why embracing technology can help your firm attract the next generation of clients.

Why Your Operations Staff Should Network
Think networking is only for client-facing professionals? Managing Director of Operations Shaun Kapusinski of Sequoia Financial Group tells a different story.

What Women Investors Want: Establishing Trust with a Growing Market
Are men and women really all that different when it comes to investing? One study sheds light on what high-net-worth women are looking for in an advisor.

Competence and Confidence—the Rise of Women as Advisors
These days, there are growing opportunities for women as investment advisors. Two industry professionals offer their perspective.

Starting an RIA Firm From Scratch
Neal Simon built his RIA business from scratch by building a reputation for great client service and relying on the support of, Schwab Advisor Services.

Reexamining Dividends in a Risk-Averse World
ThomasPartners, Inc.’s leaders discuss advising today’s wary investors, the emerging longevity challenge, and the enduring relevance of dividend investing.

Schwab Shows Support for RIAs with Ad in the Wall Street Journal
AS Public Ad notice WSJ RIA Own Your Tomorrow

Setting the Pace in the Industry
Some RIA firms are growing faster than others, thanks to organic growth—the change in assets from existing clients, new clients, and assets lost to client attrition.

The Economics of Independence as an RIA
Advisors who switch to the RIA model can keep more of the revenue they earn while building equity in their business.

The Steps to Success as an RIA
Transitioning to independence may seem intimidating. But along with a time-tested process, there are resources to help.

Your Future. Your Firm. Your Way.
Learn about all your options for independence as an RIA in a new webcast from Schwab. Join us for this free, one-hour event—and find the right fit for your future.

Five Ways to Make the Most of IMPACT 2013
Here are five top benefits you and your firm can gain by attending IMPACT this year.

Using Social Media to Build Brand Awareness: Tips for IMPACT and Beyond
At IMPACT this year, social media is a valuable way to be in the know and to lead conversations with peers and clients. Here’s how to make use of all that content to increase and improve your engagements during the conference and beyond.

Embrace freedom: Interviews with new RIAs
We surveyed 40 RIAs in their second year who custody with Schwab for their thoughts on the transition process. Check out the highlights of what they had to say in this infographic.

The power of social media: One advisor's success story
Cathy Curtis rebranded and relaunched her firm, making social media a central part of her strategy.

Advising divorcees: Three tips for serving divorced women clients
Divorced women's lives can be complicated. How do you deliver the unique services they need—and grow your business?

RIA Washington Watch: The top 3 issues affecting the industry
Hear what your peers had to say on Capitol Hill, see what’s grabbed the attention of Congress, find out what to expect on the fiduciary issue, and more.

Finding the Right Fit
Advisors have more options for levels of independence than ever before.

The Directory of advisors and New Advertising Launched November 11
The new directory of advisors is the latest addition to the RIA Stands for You campaign, and will allow investors to find independent advisors in their local area.

LinkedIn: Tips and best practices from IMPACT
Four tips for using LinkedIn to grow brand awareness and drive new business.

RIAs launch major advocacy effort in Washington, D.C.
RIAs connect with their representatives in Washington, D.C. to discuss issues important to the industry.

6 industry-shifting trends to watch in 2014
Here are 6 topics and trends to watch this year and beyond.

Building a culture of compliance
Find out how holding an annual compliance meeting can help strengthen your firm's culture of compliance.

Insights from IMPACT Awards winner Homrich Berg
Learn the secrets behind the success of wealth management firm Homrich Berg.

3 Lessons from a leader in client service
Get insights and best practices from wealth management firm, Paracle.

Living your values: 3 tips from a leading RIA and advocate
Get insights and best practices from wealth management firm, Evensky & Katz.

Road less traveled (Part 2): Making her way by making connections
Jane Newton found her own way to Wall Street and beyond—with a little help from her friends.

Technology trends shaping the future of the RIA industry
As advisor technology rapidly evolves, it’s hard for RIAs to rise above the noise. Here are some top industry trends you should pay attention to.

Road less traveled (Part 1): Forging the path as a young female advisor
As a young advisor, Christine Damico is leading the way to help bridge both the experience gap and the gender gap in the RIA industry.

Schwab Supports RIAs with New Ad in Industry Trade Publications
Starting November 11, Schwab will run a new ad in key industry trade publications.

Start With Strategy: Keys to a More Effective COI Approach
Schwab business consultants will address how more RIAs can grow their businesses by securing high-quality referrals from centers of influence.

Insight to Action
Participating in Schwab’s Insight to Action consulting programs help advisors set strategic plans for business growth.

Growth Brings Benefits of Scale
Disciplined growth brings benefits of scale to RIA firms, including improved leverage of their business operations and financial results.

Advisors Are Flocking to the RIA Channel
More advisors are taking advantage of the freedom and control that comes from operating as a registered investment advisor.

Evaluating Custodians - Tools and Resources - Schwab Advisor Services
The Evaluating Custodians Guide can help you determine whether it’s time for a change, as well as what questions to ask a new provider when you’re ready to make a switch.