December 2023
How Small Wealth Management Firms Can Become Hugely Valuable
By Mark Hurley
A research project by Digital Privacy & Protection LLC looked at what smaller firms—wealth managers with $200 million to $2 billion in AUM—must do to remain successful. The research concluded that a select group will be extraordinarily successful by becoming specialist wealth managers.
Regulatory Trends for Investment Advisors
By Trina L. Glass
In October 2023, the SEC published its 2024 Examination Priorities. Among the top issues are inadequate compliance reviews, Form ADV and Form CRS disclosure brochures, fee billing and disclosures, cybersecurity risk management strategy, and communications with the public.
Focus on the Now for a Successful Future
By Ross Levin
The best way to handle the future is to understand the now so you can make incremental rather than dramatic changes. Three areas to consider include the importance of “slow work,” opportunities offered by mergers, and the importance of face-to-face rather than online meetings.
Ryan Insurance Strategy Consultants®
Now powered by Gallagher Affinity, Ryan Insurance Strategy Consultants assist Fee-Only Advisors and their clients with Life, Disability, and Long-Term Care insurance planning. We also oversee the design, implementation, and administration of Group Insurance Membership Benefits for NAPFA members and their employees.
Learn about your NAPFA benefits.
Facilitating Change to Achieve Goals as AI Changes Financial Planning
By Kristy L. Archuleta
Artificial intelligence (AI) has gained significant attention recently as it looks to replace the technical skills that financial planners have long been using. This raises the question: Will financial planning be replaced by AI?
Some of Our Clients Are Struggling with Addiction. We Can Help.
By Lori Eisel
As the mother of a son with substance use disorder and a personal financial planner and NAPFA member, I’ve learned an important lesson: There are things I can do to help my clients and their families plan for the financial impact of addiction and to find treatment.
The Rise of the Sabbatical
By Cady North
Taking an intentional, self-paid break from work is still a counterculture idea. Despite that, more of my clients are asking for help planning around a sabbatical or extended break from work, and I’ve found a sabbatical is an amazing way to help clients expand the idea of what “financial freedom” means to them, test-drive retirement, or heal from burnout.
The NAPFA Large Firm Forum in NAPFA’s History
By Susan Weiner
This article is one in a series of articles on initiatives that have helped engage members more deeply in NAPFA. This month, we look at NAPFA’s Large Firm Forum (LFF), an annual event currently aimed at firms with at least $1 billion in AUM. The NAPFA Advisor interviewed two past NAPFA chairs, Michael Chasnoff and Michael Joyce, via email. Learn more by visiting the 2024 LFF webpage.
NAPFA DEI Initiative Advances Diversity, Equity, and Inclusion 
By Michelle Wilson
In an era when diversity, equity, and inclusion (DEI) are not just buzzwords but essential components of any thriving organization, NAPFA is making strides in fostering a more inclusive financial planning community. This article looks at NAPFA DEI Initiative plans for the upcoming year and the committee’s accomplishments from the past year.
Time Management for Advisors: Strategies and Tools to Compound the Value of Your Time
By Jody Jacobson
Time is one of an advisor’s most precious and elusive commodities. Managing time more effectively is a top priority for advisors who want to achieve bigger things. This article presents strategies and tools that will compound the value of the time you invest in work.
NAPFA’s Fourth Decade and through the Years
By Susan Weiner
A past chair of NAPFA shares his recollections of the association’s fourth decade, 2013–2022. See the timeline for more highlights.
Kiva Capital
Heifer Foundation


A Look Back at NAPFA’s Illustrious History
By Susan Weiner
Reflections, Wins, and Leadership Invitation
By Daphne Jordan
Joseph Janiczek, Janiczek Wealth Management
Large Firm Forum, Regional Symposiums, BLX Internship Deadline,
Spring Conference, NAPFA 40th Anniversary, and more in the December issue.
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