Investment Advisor

The Big Profit Squeeze All Advisors Face

As the industry looks ahead to 2017, many executives are concerned about profit margins. The cost of complying with new Department of Labor regulations adds to the inexorable upward march of costs, while new competition from digital advisors (yes, we’re talking about robos) has advisors and service providers worried about fees. Costs up, revenues static or down — it’s your classic margin squeeze, which causes small firms to suffer and medium to large firms to band together in search of scale.


Read full article:
The Big Profit Squeeze All Advisors Face
By Matt Lynch, Managing Partner, Strategy & Resources, LLC., November 21, 2016


Investment Advisor -December 2016 Issue

Investment Advisor cover story
December 2016 Issue



Executive Roundtable – October 2015

Following the FPA Major Firms Symposium in Boston, eight tenured consultants in the financial services industry gathered to discuss trends, opportunities and challenges facing financial advisors and the larger firms that support them. These executives included Marion Asnes, Idea Refinery; Bob Cogan, Strategy B4 Tactics; Julie Littlechild, If Not Now Research; Matt Lynch, Strategy and Resources; Marty Miller, Clear Path Consulting; Marie Swift, Impact Communications; Richard Scott Taylor, Innesskirk Global; Mitch Vigeveno, Turning Point, Inc. 

A white paper transcript and a set of short video clips capture their conversation. Excerpt of the conversation were published by Investment Advisor Magazine (cover story November issue 2015). See previous post.


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Download the white paper (pdf).

View the entire set of video shorts at

5 Trends That Matter to RIAs That Want to Grow

Consumer preferences, competitive threats, and compliance and regulatory noise are the driving forces in advisors’ evolving futures.

Investment Advisor article Nov 2015 (Illustration: Gary Neill)

These trends are changing the way advisors serve their clients and build their businesses. (Illustration: Gary Neill)

What can you do? Start by lifting your sights from the day-to-day stresses and think about the major trends affecting our industry — and your long-term strategy. That always helps put distractions in the appropriate context. Right now, I count five trends important enough to require that you think proactively about how you are going to deal with them.


It’s important to know what the trends are, and it’s important to know what’s driving them: Consumer preferences, competitive threats, compliance and regulatory noise or some combination of these “Three C’s.” Then you can decide, if you’re an advisor or part of a firm that serves them, whether it’s just a passing fad, a trend you can beat or a systemic change you can’t ignore.


Read full article:
5 Trends That Matter to RIAs That Want to Grow
By Matt Lynch, Managing Partner, Strategy & Resources LLC., Nov 2, 2015
Originally published in Investment Advisor, November 2015


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Should Advisors Change How They Charge?

There are several models advisors can use to charge for their services, and all come with a significant amount of debate over which is best.

“A lot of businesses confuse their regulatory model — RIA, broker-dealer, etc. — with what they actually do,” [Matt] Lynch observed. If you allow this regulatory label to determine how you get paid, it may lead to a “fundamental disconnect” with your value proposition.


Read full article:
Should Advisors Change How They Charge?
By Sherry Christie, from the September issue of INVESTMENT ADVISOR, August 31, 2015



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