Advisor Blog

Featured Blogs

  • The 4 Most Important Pages on an RIA Website and Tips to Maximize Each

    The 4 Most Important Pages on an RIA Website and Tips to Maximize Each

  • The 7 Tech Tools You Need to Launch a Fee-only Firm

    The 7 Tech Tools You Need to Launch a Fee-only Firm

  • The New CFP® Domain: Psychology of Financial Planning

    The New CFP® Domain: Psychology of Financial Planning

  • 8 Simple Tips to Optimize Tax Planning as an Advisor

    8 Simple Tips to Optimize Tax Planning as an Advisor

  • When to Say No As an Advisor: Why a No Opens the Door to a Better Yes

    When to Say No As an Advisor: Why a No Opens the Door to a Better Yes
Leaving Your Firm?  The Broker Protocol is One Detail You Can't Miss

Leaving Your Firm?  The Broker Protocol is One Detail You Can't Miss

7 MIN READ 

We see many advisors with...

November 28, 2022/by Travis Johnson
5 Tips to Prepare For a Books and Records Request (Templates Included)

5 Tips to Prepare For a Books and Records Request (Templates Included)

6.5 MIN READ 

The notice for an...

August 15, 2022/by Terria Heng
Outside Investment Manager Due Diligence & Disclosure (Templates)

Outside Investment Manager Due Diligence & Disclosure (Templates)

5 MIN READ 

Outside investment...

June 13, 2022/by Shelby Brown
Navigating State De Minimis Exemptions from RIA Registration (or Notice Filing)

Navigating State De Minimis Exemptions from RIA Registration (or Notice Filing)

10 MIN READ 

As a registered investment...

April 25, 2022/by Travis Johnson
State vs. SEC Registration: What’s the Regulatory Difference?

State vs. SEC Registration: What’s the Regulatory Difference?

6 MIN READ 

What’s the difference...

March 07, 2022/by Terria Heng
7 Tips For Properly Disclosing Advisory Fees and Staying Compliant

7 Tips For Properly Disclosing Advisory Fees and Staying Compliant

6.5 MIN READ 

With year-end compliance...

December 13, 2021/by Terria Heng
Your Guide to Social Media Compliance and the New SEC Marketing Rules

Your Guide to Social Media Compliance and the New SEC Marketing Rules

6 MIN READ 

Although not new news, per...

August 30, 2021/by Terria Heng
Everything You Need to Know About Outside Business Activities (OBAs)

Everything You Need to Know About Outside Business Activities (OBAs)

4 MIN READ 

May 24, 2021/by Terria Heng
The SEC's New Marketing Rule, Explained

The SEC's New Marketing Rule, Explained

7.5 MIN READ 

On December 22, 2020, the...

January 21, 2021/by Terria Heng
How Financial Advisors Can Keep Compliant Amid COVID: 5 Tips

How Financial Advisors Can Keep Compliant Amid COVID: 5 Tips

4 MIN READ 

With COVID-19 cases on the...

December 10, 2020/by Terria Heng
What Financial Advisors Need to Know About Custody

What Financial Advisors Need to Know About Custody

4 MIN READ 

In the financial services...

November 19, 2020/by Shelby Brown
Are You Making These Common Archiving Mistakes in Your Financial Planning Firm?

Are You Making These Common Archiving Mistakes in Your Financial Planning Firm?

6 MIN READ 

July 13, 2020/by Taylor Deardorff
FAQs: How to Register as an Investment Advisor

FAQs: How to Register as an Investment Advisor

10 MIN READ 

Navigating the regulatory...

June 18, 2020/by Travis Johnson
Diminished Capacity and Elder Financial Exploitation

Diminished Capacity and Elder Financial Exploitation

4 MIN READ

Either as a new RIA or as an...

January 02, 2020/by Jocelyn Tillisch
XYPN Roundup: Your First Year as a Firm Owner

XYPN Roundup: Your First Year as a Firm Owner

8 MIN READ

If you're embarking on...

October 28, 2019/by Team XYPN
Avoiding Common Regulatory Filing Deficiencies for Your RIA

Avoiding Common Regulatory Filing Deficiencies for Your RIA

6 MIN READ 

In Alice In Wonderland,...

September 23, 2019/by Ashley Hunter
Act Like an RIA, Think Like a Regulator

Act Like an RIA, Think Like a Regulator

4 MIN READ 

RIA Compliance is tricky....

September 05, 2019/by Scott Gill
XYPN Roundup: The Best Compliance Posts for Independent Financial Advisors

XYPN Roundup: The Best Compliance Posts for Independent Financial Advisors

14 MIN READ

Did you know that advisors...

August 22, 2019/by Kelly Moorman
4 Tips for Customizing Your Firm’s Compliance Manual

4 Tips for Customizing Your Firm’s Compliance Manual

5 MIN READ 

RIA firms are, for the...

August 05, 2019/by Scott Gill
5 Critical Functions of the FINRA Firm Gateway

5 Critical Functions of the FINRA Firm Gateway

4 MIN READ 

Let’s be honest, most of...

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

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Popular Posts:

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Craft a Compelling Value Proposition in 6 Steps (Template Included)

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