How A Proper Risk Capacity Score Helps Broker-Dealers Meet Reg BI Requirements

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The Regulation Best Interest (Reg BI) rule set out by the SEC on June 30, 2020 means broker-dealers and their associated persons who are natural persons must prove that they’re acting in the best interest of their retail customers. The regulation consists of 4 components, which are: 1-Disclosure: Broker-dealers must disclose, in writing, all material facts […]

Personalize or Perish: Why Personalization is Key for Financial Advisors

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Personalization is key to compete in a crowded marketplace. While personalization was once a “nice to have,” providing a personalized wealth management has become essential to remaining relevant in a competitive marketplace where clients expect more than ever.  For financial advisors, the stakes are even higher. As investors are increasingly turning to new robo technology […]

8 Tips For Financial Advisors To Level Up Their Social Media

8 tips for financial advisors to level up their social media

It’s no longer news that social media is a vastly powerful force in marketing. More than 73% of marketing professionals said that social media marketing was either “very effective” or “somewhat effective” in a 2019 Buffer study. And social media marketing is an increasingly important part of a strong financial marketing campaign as well, partially […]

Take the Full Measure of Your Client’s Investment Risk – Featured on AdvisorHub

Financial advisors often don’t gain a complete picture of client risk. By using a fact-based approach to look at risk capacity, advisors can address that problem. As a financial advisor, assessing your clients’ tolerance to take on portfolio risk is a critical step in creating a suitable asset allocation and financial plan for them. Traditionally, […]

How the Right Risk Profiling Can Help You Close Clients (No, Really!)

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As discussed in our article Traditional Risk Tolerance Questionnaires Lead to Inaccurate Risk Appetite, risk tolerance questionnaires help mitigate biases and emotional subjectivity in investing decisions. But risk profiling through TIFIN Wealth’s Risk Alignment tool takes it a step further. Unlike other questionnaires that only provide one aspect of risk at a time, our platform […]