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Topic:
RIA Perspectives
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10 Essential Traits of High-Performing Client Service Associates in Financial Planning
In the dynamic world of financial services, Client Service Associates (CSAs) play a pivotal role that extends far beyond administrative support. As a crucial support system for financial advisors, CSAs are integral to fostering strong client relationships and ensuring smooth operations within a financial planning firm. For financial planning firms looking to cultivate top-tier talent,…
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How to Nail Your First Marketing Hire and Set Them Up for Success
Let’s be real: Hiring your first marketing professional can feel like you’re on a wild treasure hunt for a mythical creature. You might think you need a one-person powerhouse who can do it all—design your brand, write every piece of content, run entire marketing campaigns, manage PR, and probably juggle fire while doing it. But…
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Regulation S-P Receives a Boost
The SEC’s recent amendments to Regulation S-P highlight the ongoing focus on data privacy and security. These changes directly impact how RIAs manage and protect client information. Here’s a breakdown of the key updates and what they mean for compliance efforts. Background on Regulation S-P Since 2000, Regulation S-P has required Registered Investment Advisers, Broker-Dealers,…
