Only a small fraction of firms have increased their use of client testimonials and endorsements in the wake of the SEC’s updated marketing rules, according to a recent Investment Adviser Association survey.

Emphasize data portability, not retention, within your tech strategy.

Advisors must think like their clients and to do so, they need to know what they are experiencing.

When working for Coastal Equities, Luke Johnson pushed clients to invest in illiquid alts, including a number of GPB Holdings private placements.

We expect to see more M&A activity from larger institutions that have remained on the sidelines so far. Existing RIAs will need to consider the implications.