Gathering client data upfront is a critical, but often unnecessarily difficult, first step of any financial advisor-client relationship. Too often, wealth management firms still rely on spreadsheets, ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

Creating a base of loyal clients and customers who come back to purchase goods and services after an initial purchase is essential for small businesses to be successful. Remembering who clients are ...

In this installment of our continuing series on e-discovery basics, we address the importance of developing a thorough understanding of client data and planning for discovery before litigation starts.

You can probably tell when your clients are drowning in too much information. Daily bombardments of intra-day trading figures, predictions of doom from TV experts who have no personal stake in the ...

Among the biggest challenges advisors face is simply getting the data needed to execute a client’s financial plan. Without information to enter into the planning software, it’s impossible to ...

Financial advisors can use this structured AI prompt to help identify potential compliance concerns in draft client ...

With all of the conversations surrounding hyper-personalization, I have yet to find a practical guide that I believe can help companies jump-start the journey to individually unique client experiences ...

New York, August 21, 2013 – Bloomberg L.P. today released a report resulting from an external review of the company’s client data policies and procedures, led by the law firm Hogan Lovells and the ...