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Running an RIA

Save time, cut costs, optimize your practice management, and improve client and employee engagement with carefully curated resources that will help you efficiently and effectively manage your RIA.  

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Interactive Quiz & Guide

RIA-lity Check: Assess, Adjust & Achieve

Identify, solve and optimize any practice management, client or employee engagement issue with this quiz and guide to managing your RIA. 

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Managing Like a Boss: A Case Study

Case Study: The Power of Niche - How Cathy Curtis Designed a Profitable & Fulfilling Practice

How Cathy Curtis Designed a Profitable & Fulfilling Practice

Case Study: Scaling a Virtual Financial Planning Firm: Tara Unverzagt’s Journey to Growth and Inclusion

Scaling a Virtual Financial Planning Firm: Tara Unverzagt’s Journey to Growth

What Would Arlene Say?

Advice From Executive Business Coach Arlene Moss

How to Set Goals as An Established Advisor
Uncovering Clients’ True Financial Priorities with a Master List of Goals
XYPN Blog

How to Set Goals as An Established Advisor

How do you set goals when you’re genuinely happy with the size and state of your business and aren’t necessarily looking to grow your client base?

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Why Financial Planners Should Facilitate Multigenerational Conversations

Why Financial Planners Should Facilitate Multigenerational Conversations

Aug 25, 2025
Coaching For Leveraging Partnerships: Collaborating with Other Professionals in Your Community

Coaching For Leveraging Partnerships: Collaborating with Other Professionals in Your Community

May 12, 2025
Coaching for Better Time Management: Prioritizing Organic Growth in Your Daily Routine

Coaching for Better Time Management: Prioritizing Organic Growth in Your Daily Routine

Apr 7, 2025
Coaching for Client Retention: Turning Existing Clients into Raving Fans for Organic Growth

Coaching for Client Retention: Turning Existing Clients into Raving Fans for Organic Growth

Feb 10, 2025
How to Ensure a Smooth Transition to Your New RIA Firm

How to Ensure a Smooth Transition to Your New RIA Firm

Dec 9, 2024
Building Team Culture: A Guide for Scaling RIA Firms

Building Team Culture: A Guide for Scaling RIA Firms

Aug 19, 2024

Practice Management

Master the essentials of effective practice management to run your business smoothly and efficiently. These curated resources from peers and experts will guide you through optimizing operations, improving client relationships, and fostering long-term success. By streamlining your processes, you’ll create a solid foundation for growth and sustainability.

We Recommend
Running a Successful RIA: Kate Holmes of Belmore Financial

Running a Successful RIA: Kate Holmes of Belmore Financial

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Running a Successful RIA: Marcio Silveira of Pavlov Financial Planning

Running a Successful RIA: Marcio Silveira of Pavlov Financial Planning

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Running a Successful RIA: Financial Advisors Look Back One Year After Launch

Running a Successful RIA: Financial Advisors Look Back One Year After Launch

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Running a Successful RIA: Sophia Bera of Gen Y Planning

Running a Successful RIA: Sophia Bera of Gen Y Planning

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7 Essential Processes Every Financial Advisor Needs to Efficiently Run Their Firm
7 Essential Processes Every Financial Advisor Needs to Efficiently Run Their Firm

7 Essential Processes Every Financial Advisor Needs to Efficiently Run Their Firm

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Feb 28, 2025

Compliance Management

Stay ahead of regulatory requirements with practical compliance management processes. These resources provide essential guidance on maintaining up-to-date practices, managing risks, and navigating complex regulations. A strong compliance framework will protect your business and foster long-term trust and success.

The Essential RIA Compliance Guide
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Compliance

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

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Jun 28, 2024
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When Taking Custody & Engaging Virtual Assistance is Right For Your RIA

When Taking Custody & Engaging Virtual Assistance is Right For Your RIA

Jul 26, 2023
Scaling Your Compliance Program

Scaling Your Compliance Program

Aug 26, 2020
Audits: The Do’s and Don’ts According to a Former Regulator

Audits: The Do’s and Don’ts According to a Former Regulator

Jan 1, 2020
Ep #184: Navigating the Broker-Dealer and Insurance World - The Career of Malcolm Thomas, XYPN's Director of Advisor Success

Ep #184: Navigating the Broker-Dealer and Insurance World - The Career of Malcolm Thomas, XYPN's Director of Advisor Success

Dec 26, 2018
Alan & Kitces Unhinged - E&O Insurance, Serving Multiple Niches, & More!

Alan & Kitces Unhinged - E&O Insurance, Serving Multiple Niches, & More!

Jul 26, 2017

Marketing & Client Engagement

Enhance your marketing strategies and build lasting relationships with your clients. These resources will help you craft effective campaigns, improve client communication, and boost engagement. By strengthening your marketing and client engagement efforts, you'll foster loyalty and drive sustainable business growth.

The Rise of the Media Advisor

The Rise of the Media Advisor

Jan 12, 2026
2025 XYPN Blog Wrapped

2025 XYPN Blog Wrapped

Dec 29, 2025
Navigating the Transition: How XYPN Sapphire Simplifies Going Solo

Navigating the Transition: How XYPN Sapphire Simplifies Going Solo

Mar 26, 2025
Redefining Success In Your Financial Planning Firm

Redefining Success In Your Financial Planning Firm

Oct 30, 2024
PP: XYPN | Marketing Pillar Page | Ready, Set, Grow!: An RIA Marketing Guide
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Ready, Set, Grow!: An RIA Marketing Guide

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

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Employee Engagement

Foster a positive and productive work environment by focusing on employee engagement. These resources will guide you in creating a culture of motivation, recognition, and collaboration. By investing in your team’s well-being and development, you’ll enhance performance, retention, and overall business success.

Your Best ROI: Engaged, Happy Employees (Exclusive XYPN LIVE Content)
Your Best ROI: Engaged, Happy Employees (Exclusive XYPN LIVE Content)
XYPN LIVE

Your Best ROI: Engaged, Happy Employees (Exclusive XYPN LIVE Content)

Watch exclusive content from XYPN LIVE to learn how ROI of employee experience attracts and retains talent, improves client satisfaction and drives profit.

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Nov 7, 2022
The Power of Orion, Now Built for You

The Power of Orion, Now Built for You

Oct 21, 2025
Why XYPN Sapphire Is a fit for Advisors Ready to Scale

Why XYPN Sapphire Is a fit for Advisors Ready to Scale

Jun 2, 2025
The Impact of Ownership Mentality on Employee Accountability & Company Growth

The Impact of Ownership Mentality on Employee Accountability & Company Growth

Feb 26, 2025
The 411 on 1099s: What RIA Owners Need to Know

The 411 on 1099s: What RIA Owners Need to Know

Nov 11, 2024
A Decade of Building XYPN from the Inside Out

A Decade of Building XYPN from the Inside Out

Apr 9, 2025
Navigating the Transition: How XYPN Sapphire Simplifies Going Solo

Navigating the Transition: How XYPN Sapphire Simplifies Going Solo

Mar 26, 2025
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Ready to increase your ROI?

Find all ways you can increase your Return On Independence with the XYPN Membership Guide

Member Stories: Mastering Two Jobs Like a Boss

 
Full-Time Police Officer Running His Own RIA

Full-Time Police Officer Running His Own RIA

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How Two Full-Time Firefighters are Running a Successful Financial Planning Firm - The Careers of Leo Nunez & James Estep

How Two Full-Time Firefighters are Running a Successful Financial Planning Firm - The Careers of Leo Nunez & James Estep

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Motherhood and Firm Ownership: How To Master Both

Motherhood and Firm Ownership: How To Master Both

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