Resources

Tools for Financial Advisors

Find expert and insider insights on everything from compliance to marketing. Start, run, and grow your financial advisory firm with confidence—we'll show you how.

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Compliance

The Essential RIA Compliance Guide
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Guide

The Essential RIA Compliance Guide

We've never met a financial advisor without a compliance question. Take a look at this checklist to make sure you're staying compliant as you grow your firm

The Essential Guide to RIA Registration
The Essential Guide to RIA Registration
Guide

The Essential Guide to RIA Registration

Learn what to expect when registering your Registered Investment Advisor (RIA) firm from XYPN Compliance—a leader in RIA registrations and compliance consulting.

Compliance Manual for Starting an Independent RIA
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Guide

Compliance Manual for Starting an Independent RIA

Learn how to break away and start your own independent, fee-only RIA with our step-by-step compliance guide. Prepare, transition, register, and establish your compliance program with ease.

Marketing

Ready, Set, Grow: An RIA Marketing Guide
Guide

Ready, Set, Grow: An RIA Marketing Guide

Gain traction faster and convert ideal customers more easily with this step-by-step guide to growing your financial planning firm.

Your Niche and Ideal Client
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Course

Your Niche and Ideal Client

Master your niche and ideal client with the FREE XYPN Academy course. Develop tailored solutions and build a successful practice. Access 100+ courses with XYPN membership. Let's connect!

Ideal Client & Persona Workbook
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Guide

Ideal Client & Persona Workbook

A marketing guide for RIA owners: Identify your ideal clients and craft their persona to attract, qualify and engage clients

RIA Marketing Funnel Template
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Guide

RIA Marketing Funnel Template

Build an RIA marketing plan with this marketing funnel template, including a checklist of ideas and digital marketing advice for financial advisors.

How to Attract a New Generation of Clients to Your RIA
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Guide

How to Attract a New Generation of Clients to Your RIA

Learn real strategies for attracting and profitably serving younger clients in your financial planning firm.

First Year

Fee-for-Service Financial Planning
Book

Fee-for-Service Financial Planning

Written by XYPN Co-Founders Alan Moore and Michael Kitces, this is THE guide you need to profitably launch, run, and scale your independent RIA based on an fee-for-service model.

Your Firm, Your Terms: How to Start an RIA
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Your Firm, Your Terms: How to Start an RIA

Wondering what to expect when starting your own Registered Investment Advisor (RIA) Firm? This step-by-step guide covers all the bases so you can confidently navigate from where you are to where you want to be.

XYPN Membership Guide
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Guide

XYPN Membership Guide

Our info-packed directory details official partners, free-for-members services, exclusive opportunities, and additional discounts.

How to Start a Financial Planning Firm
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Guide

How to Start a Financial Planning Firm

Thinking about starting your own RIA? Use XYPN's All-in-One Checklist to be sure you have everything covered, from taxes to marketing and everything in between.

First-Year RIA Budget Projection
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Guide

First-Year RIA Budget Projection

Curious about the average financial advisor budget? It can be different in your first year. We've lined out all the items you'll need to plan for here.

The First-Year Financial Advisor Business Plan
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Guide

The First-Year Financial Advisor Business Plan

Our First-Year Business Plan template will help financial advisors create a vision, plan for the practical stuff, and prepare to start an independent RIA.