Advisor Blog

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  • A Year in the Life of an Independent Financial Advisor
  • Top 10 Misconceptions about XYPN
  • Creating a Business Plan
  • Finding Success in Year One of Your RIA
  • Choosing the Right Fee Structure
5 Critical Functions of the FINRA Firm Gateway

5 Critical Functions of the FINRA Firm Gateway

4 MIN READ 

Let’s be honest, most...

July 01, 2019/by Scott Gill
17 Compliance Tips Every Independent Financial Advisor Should Know

17 Compliance Tips Every Independent Financial Advisor Should Know

8.5 MIN READ

Here at XY Planning...

June 27, 2019/by Ashley Hunter
Compliance Considerations: How Independent Financial Advisors Can Avoid Client Complaints

Compliance Considerations: How Independent Financial Advisors Can Avoid Client Complaints

5 MIN READ 

There are many...

June 03, 2019/by Scott Gill
Identifying and Disclosing Conflicts of Interest: A How-To for Financial Advisors

Identifying and Disclosing Conflicts of Interest: A How-To for Financial Advisors

5.5 MIN READ 

Form ADV Part 2 is...

May 09, 2019/by Scott Gill
Everything You Need to Know About Preparing for State Registration

Everything You Need to Know About Preparing for State Registration

14 MIN READ

Wouldn’t it be great if...

April 29, 2019/by Ashley Hunter
How to Create Customized Workflows for Compliance Tasks: A 3-Step Process

How to Create Customized Workflows for Compliance Tasks: A 3-Step Process

4.5 MIN READ 

One of the most...

April 01, 2019/by Scott Gill
One Fee, Two Services: Combining Investment Management and Financial Planning Fees

One Fee, Two Services: Combining Investment Management and Financial Planning Fees

5.5 MIN READ 

A growing number of...

March 07, 2019/by Scott Gill
Six Compliance Considerations for Merging Firms

Six Compliance Considerations for Merging Firms

4 MIN READ 

There are many reasons...

February 07, 2019/by Scott Gill
Three Compliance Goals You Should Set for Your Financial Planning Firm

Three Compliance Goals You Should Set for Your Financial Planning Firm

4 MIN READ 

A new year presents the...

January 10, 2019/by Scott Gill
Viewing Monthly Financial Planning Arrangements Through a Regulatory Lens

Viewing Monthly Financial Planning Arrangements Through a Regulatory Lens

4.5 MIN READ 

As the financial...

December 17, 2018/by Scott Gill
Common Regulatory Obstacles When Using the Monthly Subscription Model

Common Regulatory Obstacles When Using the Monthly Subscription Model

6 MIN READ 

The monthly...

November 15, 2018/by Scott Gill
Compliance Considerations: 5 Things to Know About Books and Records

Compliance Considerations: 5 Things to Know About Books and Records

5 MIN READ 

When it comes to books...

October 18, 2018/by Scott Gill
Accounting for Compliance During the Initial Registration Process

Accounting for Compliance During the Initial Registration Process

5 MIN READ 

A common mistake made...

September 20, 2018/by Scott Gill
Compliance Considerations: Hiring for Your RIA

Compliance Considerations: Hiring for Your RIA

9 MIN READ 

While new RIA owners...

August 23, 2018/by Scott Gill
The Importance of Risk Management for Your Compliance Program

The Importance of Risk Management for Your Compliance Program

5.5 MIN READ 

Many firm owners find...

July 30, 2018/by Scott Gill
4 Compliance Considerations for Financial Advisors Who Offer Online Courses

4 Compliance Considerations for Financial Advisors Who Offer Online Courses

5.5 MIN READ 

Financial advisors...

June 28, 2018/by Scott Gill
How to Play

How to Play "Catch-Up" (the Right Way) on Past-Due Compliance Tasks

5 MIN READ 

As a firm owner...

May 31, 2018/by Scott Gill
Adjusting Your Compliance Program for a TAMP

Adjusting Your Compliance Program for a TAMP

 

*Estimated Read Time: 3 1/2 minutes

March 08, 2018/by Scott Gill
Compliance Considerations for Cryptocurrency

Compliance Considerations for Cryptocurrency

*Estimated Read Time: 4 1/2 minutes

...

February 08, 2018/by Scott Gill
Our Top Blogs of the Year for Independent Financial Advisors

Our Top Blogs of the Year for Independent Financial Advisors

Over the past year at XY Planning...

January 01, 2018/by Jennifer Mastrud
Annual ADV Update: Recent Changes to Note

Annual ADV Update: Recent Changes to Note

 

It’s that time of year again! It’s...

December 14, 2017/by Scott Gill

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