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Category: White Papers

Client Acquisition and Retention: Optimizing the Advisor’s Toolbox

The American psychologist Abraham Maslow… recognized that humans have a cognitive bias that predisposes us to an overreliance on a familiar tool. We see this predisposition across many professions, from surgeons to computer programmers and, yes, even with psychiatrists. As it relates to financial advisors and their efforts around client acquisition and retention, the tools available to them are familiar ones, e.g., e-mails, seminars, social media, etc. Yet, like the hammer, these tools may be used more out of habit or convenience, without regard to whether the opportunity in front of them is a nail or a screw. In...

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The Great Migration: Financial Advisors Moving from Wirehouses to Independent Broker/Dealers

The United States was founded by people who voted with their feet—brave individuals who chose to leave the Old World behind to carve out a new future in their own vision. From the migration west in the 19th century to the contemporary phenomenon of moving from high tax states to lower tax states, Americans have never stopped taking control of their future. Today, financial advisors concerned with serving their clients in the best way they know how and building a business they can believe in are voting with their feet, as well. In 2018, 235 advisors/teams with over $61...

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The Hiring Dilemma: A Guide to “When, Why and How”

Text by Kimberly A. Branch, CFP®, CLTC, Vice President of Marketing Strategy, American Portfolios Financial Services, Inc. —an Independent Broker/Dealer Hiring a new employee is no small decision. In many respects, it’s nothing less than a leap of faith—a deep confidence that: a) a jump in compensation and related expenses will be rewarded with future asset growth and productivity gains; and b) any increase in fixed expenses won’t materially burden profitability during cyclical market declines. At its core, however, it is the belief in self and an advisor’s partners. It is a conviction that in working together, with a...

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