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.
Compliance
The Essential RIA Compliance 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
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
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
Your Brand Report Card
Your Brand Report Card
In under 10 minutes, your Brand Report Card will highlight what’s working, reveal what’s holding you back, and give you a clear action plan to make your brand shine brighter, build trust faster, and drive lasting growth.
RIA Marketing for Financial Advisors
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
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
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
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
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
Transition Action Plan
Transition Action Plan
In just a few minutes, your Transition Action Plan will give you a clear roadmap for moving from a broker-dealer to a fee-only RIA with confidence.
Membership Guide
Sapphire Benefits Guide
Discover how Sapphire empowers fee-only financial planners with freedom, support, and control through its plug-and-play RIA affiliation model.
Emerald Benefits Guide
Emerald Benefits Guide
Our info-packed directory details official partners, free-for-members services, exclusive opportunities, and additional discounts.
Starting Your Own RIA
RIA Roadmap: Emerald Membership
Starting your own Registered Investment Advisor (RIA) firm is exciting, but it’s also complex. Download XYPN’s free 12-step roadmap for starting your own RIA. Get guidance on how to start an RIA, even with no AUM.
Joining an RIA
RIA Roadmap: Sapphire Membership
Learn how to transition to independence with confidence by joining an established RIA firm and maintaining full ownership and autonomy. Download the Sapphire Roadmap today.
Chart of Accounts Guide
Chart of Accounts Guide
Are your financials set up correctly? Not sure where to start? Get the guidance you need from our team of bookkeeping experts who know your world inside and out, including the regulations in your state.
Fee-for-Service Financial Planning
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
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.
How to Start a Financial Planning Firm
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
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
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.