Insights

The RIA journey doesn't have to mean choosing between growth and independence. Explore the three distinct paths we offer to meet you where you are—and take you where you want to go.

In this blog, we look at the support that Joey Schultz received as he switched careers to become a Financial Advisor at Forum.

In this blog, we highlight the experience of Nicole A. Campbell, CFP®, CDFA®, AEP® who joined Forum Financial as she embarked on a career as a financial advisor.

Jeff Doblin, CFA, CFP® has been named a partner for Forum Financial Management, parent company of the Wealth Advisor Alliance. In the following Q&A, Jeff discusses financial planning, the power of thinking long term and how emotions can affect decision making.

Whether it is increasing AUM, expanding your team or diversifying services, sustainable growth starts with a clear strategy. Explore the key metrics that matter most and how to achieve success on your terms.

The key to scaling successfully is not necessarily about adding more hours to your day or hiring additional in-house staff — it is about putting together the right mix of resources to support your business needs. Read more to learn how the WAA can help.

In our latest blog, we delve into key risks faced by independent RIAs, including regulatory compliance, time constraints and professional isolation and strategies to manage these risks and ensure sustainable growth for your practice.

We discuss the unique set of challenges that come with growing your practice or going independent and how the WAA can help you overcome these barriers.

We discuss some of the competitive advantages that being a financial fiduciary advisor offers and how the WAA can support advisors in this capacity.

In April, Co-Managing Partner Jonathan Rogers was featured on Asset TV. Watch the full interview.

Juan Ros, CFP®, AEP®, CEPA®, CVGA® has been named a partner for Forum Financial Management, parent company of the WAA. In the following Q&A, Juan shares his perspective on financial planning, charitable giving and building relationships.

In April, Bob Veres discussed with Forum partners the unique partnership model created by Forum Financial Management, parent company of the Wealth Advisor Alliance. Read more.

Without actively monitoring and measuring your firm's performance, you cannot tell if you are meeting your goals. A business intelligence dashboard can highlight areas that will allow you to better manage and track the data in your practice. Learn more.

Due diligence can help determine whether a prospective partner's culture aligns with your own. We offer some key questions to consider when assessing cultural fit and compatibility.

We talked with Julie Schatz, CFP® and Jennifer Cray, CFP® about their approach to financial planning, their relationships with clients and why they chose to join our parent company, Forum Financial Management.

What happens to your business if something happens to you? We discuss the benefits of having a business continuity plan and key items to keep in mind when developing your plan.

For many firm owners, there comes a time when selling may be the best option to achieve business or personal goals. We discuss four considerations to keep in mind as you prepare to sell your firm.

As RIA firms grow, they often encounter scalability, regulatory compliance and operational efficiency challenges. We share the different options available to support future growth for your financial advisory practice.

What happens when two partners in an RIA can’t agree? We look at why partnerships fail and how you can recover if it happens to you.

Adding personal financial planning and investment advising services to traditional accounting functions offers a path to increased service opportunities for clients. Our brief article provides some highlights.

The Wealth Advisor Alliance offers 3 helpful tips for developing an effective business plan to grow your practice.

Jonathan Rogers, Co-Managing Partner of the WAA, discusses choices associated with using a TAMP and the decision points that matter. Read more.

RIAs who are a part of the Dimensional ecosystem enjoy some advantages that are not available to other firms. Learn More.

In an August Advisor Perspectives article, Brian Shapiro, Wealth Advisor Alliance advisor development officer, discusses how entrepreneurial advisors can build and grow their business even with limited resources.

The WAA discusses the importance of women in business leadership and how an equitable mix of male and female leaders can lead to success.

In an industry landscape that is undergoing constant change, the WAA shares the top 5 trends that can keep your practice evolving.

The Wealth Advisor Alliance explains the importance of a strong investment philosophy for RIAs and their client relationships.

Through practice management posts on our Insights page, weekly social media shares and monthly newsletters, the WAA provides guidance to a community of advisors and RIAs who want to elevate their advisory career path. Read this year’s top three articles.

As your practice evolves, where you focus your energy must evolve as well. Learn what high-performing teams are doing to run successful next-level RIA firms.

We are pleased to share Forum Financial Management, LP, parent company to the Wealth Advisor Alliance, ranked 44 on the Barron’s 2021 Top 100 RIA Firms.

The Wealth Advisor Alliance explores how RIAs can learn from the healthcare industry with lessons on how to quickly adapt to change due to the pandemic while continuing to focus on the long-term success of their practice.

While a common motive for scaling a practice is the desire to take firm profitability to the next level, growth does not necessarily mean higher profits. In our blog, we share three important questions to ask yourself when deciding to scale.

In his May Advisor Perspectives article, Forum Financial Advisor Marcus Heinrich discusses succession planning and reveals the one big mistake advisors make regarding succession: They start planning too late.

In this Q&A, Brian Shapiro, Wealth Advisor Alliance advisor development officer, makes the case that advisors achieve greater success accelerating firm growth and planning for a seamless succession with the support of an outsourced provider.

We are pleased to welcome Reggie Rhodes and Legacy Wealth Management Group to the Wealth Advisor Alliance. In this Q&A, founder Reggie Rhodes discusses why he decided to establish Legacy Wealth and work with the WAA.

Dedicated operational support is essential for the growth and sustainability of your practice. In this article, we weigh the pros and cons that may come with an outsourced solution.

The Wealth Advisor Alliance explains how financial advisors can plan for succession while working remotely with six points to consider.

Forum Financial Management, the WAA's parent company, has surpassed $5 billion of assets managed or serviced as of December 31, 2020.

Joe Vogenthaler looks back at his decades-long professional career as an equity and commodities trader and considers the decision he made to become an Investment Advisor Representative via the Wealth Advisor Alliance.

We are excited to welcome LIFEWATER Wealth Management and Fredrick Standfield to the Wealth Advisor Alliance. Fredrick, who ended 2020 by obtaining his CFP® certification, shares his perspective on establishing LIFEWATER.

Marie Stark, CPA has been named a partner for Forum Financial Management, the WAA’s parent company. In the following Q&A, Marie looks back on her professional journey and discusses the next phase of her career.

Through monthly newsletters and curated content, the Wealth Advisor Alliance provides materials for financial advisors to reference at any stage of transforming their career. Read the year’s most viewed content.

The Wealth Advisor Alliance is pleased to welcome Trexler Financial Advisors and Jared Trexler. In his Q&A, Jared shares why he chose to become a financial advisor and go independent.

The Wealth Advisor Alliance discusses the importance of applied cybersecurity measures that encourage greater client confidence and a more secure future for your practice.

What are the financial benefits of going independent? In our infographic, we compare the pay of entrepreneurial financial advisors and non-independent salaried employees.

Access the recording and transcript from WAA’s recent webcast, “What Your Practice Needs to Grow,” hosted by Brian Shapiro with Jonathan Rogers. They discuss how firms can successfully leverage their distinct capabilities while planning for capacity, efficiency and profitability.

In the following exclusive Q&A with the Wealth Advisor Alliance, Dan Solin explains why the research confirms that better conversations are built on a foundation of thoughtful questions.

Molly Powers returns with a new article on practical ways for financial advisors to recharge and take their schedule in a new direction to avoid burning out.

In the latest segment of our series, A. Andrew Marwede, partner at Forum Financial Management, reflects on the early stages of his career and shares his approach to success.

The Wealth Advisor Alliance outlines items to consider when developing a disaster recovery plan to help your firm survive and ultimately thrive despite a wide range of contingencies.

Featured in the July 2020 edition of FPA Next Generation Planner, Karma Forrestal recalls her experiences with past financial crises and outlines essential actions for advisors to navigate the ongoing pandemic.

When tough times hit, nothing is more important for an advisor than managing time efficiently. Your priorities are driven by nurturing your firm’s most valuable asset: the trust and confidence of your clients.

In the latest segment of his series, WAA Advisor Development Officer Brian Shapiro dives into the dilemma many financial advisors are facing by attempting to find the time to do everything. He explains the focus should be on what is important: the continued well-being of clients and their families.

In this Q&A, Joey Schultz offers perspective on changing careers and the value of having a plan in place before and after making any career decision.

The merits of Value, Small Cap and Profitability as factors in a diversified equity portfolio have had a challenging time in recent years. Wealth Advisor Alliance Co-Managing Partner Jonathan Rogers provides a comprehensive review of the literature and data around the recent decade over which Value has been outperformed by Growth.

Karma Forrestal shares how she has been advising her clients through this global pandemic in a recent Dimensional Perspectives column. In this Q&A, she offers advice for women considering pursuing a career as a financial advisor.

Feeling disillusioned or sensing your career progression has plateaued can be a sign that you need to pursue a new path. The Wealth Advisor Alliance outlines a variety of different options for you to consider as you think about your next career move.

In the second part of our series on advisor stress, we examine how stress affects financial advisors and investors. Advisors often remind their clients that discipline is required to stay the course to achieve their financial goals, but it is easy to forget that stress management demands the same vigilance.

No one can foresee when these black swan events will occur, or their severity and length, so it is prudent for financial advisors to help their clients navigate through these difficult times with the knowledge that these types of events were factored into their investment plans.

To help financial advisors within our community connect with their clients about the evolving situation, we are offering a check-in questionnaire that can either be sent to clients by email or used during client calls.

Global financial market volatility has yielded anxious days and restless nights for investors and financial advisors since the last week of February. For advisors proactively contacting their clients, the act of making “just one more call” before the end of the day has the potential to wear down even the most resilient advisor.

In the latest segment of his new series, Forum Advisor Development Officer Brian Shapiro discusses why advisors should take a strategic approach to client referrals by first defining their ideal client profile.

Now is the time to begin introducing changes to better position your firm as a viable competitor in the next-gen talent marketplace.

Many founders choose internal successors to ease the burden and pressure of succession because these individuals already understand the firm’s processes, service approach, investment philosophy and client experience. However, this type of succession is not as straightforward as it appears.

Financial advisors who want to focus on their prospecting process in 2020 should review their 2019 prospective client list and recommit to using their CRM.

In the first segment of his new series, Brian Shapiro, Advisor Development Officer at Forum Financial Management, outlines how financial advisors can foster referrals and cultivate growth from centers of influence (COIs).

In the latest segment of our new series, Rob Methven, Partner at Forum Financial Management, shares the thoughtful advice he would tell his former self. In those first few years as a financial advisor, it is critical to recognize the value of your own life experiences.

Nothing compares with having an experienced transition team help you start off on the right foot and feel welcome at your new firm. In fact, the quality of the transition experience usually sets the tone for an advisor’s next chapter.

Forum Financial Management has hired Brian Shapiro, former BAM Advisor Services Client Development Director, as its Advisor Development Officer. With 31% annualized growth over the past 10 years, Forum is ramping up to add to its national team of more than 70 advisors.

In the first segment of our new series, Karma Forrestal, CFP®, Partner at Forum Financial Management, shares the sage advice she would tell her former self about managing the first years as a financial advisor.

Forum co-Managing Partner Jonathan Rogers was featured in the September issue of FPA Next Generation Planner.

A new season offers a world of opportunity. Have you considered what your next challenge will be?

Forum co-Managing Partner Nirav Batavia shares key takeaways from Dimensional's recent CEO Conference in Lake Tahoe.

Forum co-Managing Partner Jonathan Rogers was featured in the July issue of FPA Next Generation Planner.

Forum Financial Management, LP appears in the Top 100 on the 2019 Financial Advisor RIA Ranking.

Forum Financial Management, LP has been named to the 2019 Financial Times 300 Top Registered Investment Advisers.

Forum Financial Management is pleased to announce a new strategic relationship with Solin Consulting, an advisory coaching firm founded by New York Times bestselling author and financial blogger Dan Solin.

Forum co-Managing Partner Nirav Batavia was featured on “Market On Close” on TD Ameritrade Network on November 14.

Whether you are interested in growing a $1 billion advisor firm or you seek to build a sustainable lifestyle practice, here are some key points to help you as you progress on your journey.

Forum Financial Management, LP appears in the Top 100 on the 2018 Financial Advisor RIA Ranking.

Forum Financial Management, LP has been named to the 2018 Financial Times 300 Top Registered Investment Advisers.

Forum co-Managing Partner Nirav Batavia was featured on “Market On Close” on TD Ameritrade Network on May 31.

What is bitcoin? The following article from Dimensional Fund Advisors describes cryptocurrencies such as bitcoin and explains the blockchain technology through which trading occurs.

The latest Forbes article from Jonathan Rogers, co-managing partner for Forum Financial Management and a contributor of the Forbes Finance Council. Read “Learn To Invest Like A Casino Rather Than A Gambler” below.

Forum Partner Norm Mindel was featured in the December 5 Lifehacker article “Bitcoin Is Not a Good Way to Get Started With Investing.”

The first Forbes article from Jonathan Rogers, co-managing partner for Forum Financial Management and a contributor of the Forbes Finance Council, discusses separately managed accounts. Read the article below.

You may have read headlines earlier this year announcing the U.S. economy is now in the third-longest economic expansion in U.S. history. This economic cycle started in June 2009 and has lasted for 96 months.

Norm Mindel may be a veteran financial advisor, but he has also earned the title of world traveler. Norm has visited four continents and more than 20 countries, including New Zealand, Thailand, Vietnam, Spain and numerous places throughout Europe. Just back from his second trip to Australia, Norm shares his thoughts about the country and some of his favorite destinations with five tips for international travelers.

On March 15, the Fed increased the federal funds rate by 0.25% to a range of 0.75% to 1.00%. Forum Partner Nirav Batavia was featured in a CBS Chicago news story on rising interest rates.