Practice Management

The commission charged the estate of Stephen Romney Swensen, arguing it continues to benefit from an alleged Ponzi scheme that stole from more than 50 investors and raised over $29 million before Swensen's death in June.

One of the most important roles for your business is the sales manager. An air-tight sales infrastructure empowers financial advisory firms to grow.

According to the commission, Keith Springer and his firm used 'deceptive marketing' via ads and his radio show to attract investors, many of whom were retirees.

From HELOCs to reverse mortgages.

Social media video and audio marketing is the way to reach next-gen investors.

When an advisor signs a recruiting deal, the firm is making an investment in that individual, and the advisor is signifying the intent to make good on the firm’s investment. But situations change over time. Is there a way out?

Say what you’re going to do and do what you say. And do it well.