Resources
Advice, best practices, and thought leadership for investment firms. Grow your knowledge and your business.
Guides
Guide to FINRA's Broker-Dealer Examination Process
Learn four proven ways to prepare for a FINRA routine examination – according to leading compliance experts.
How Leading Broker-Dealers Leverage Digital Technology
Discover three key ways digital technology helps retain top advisors and boost profits
Mutual Fund Direct Business
“Is mutual fund direct business a viable option for our firm?” remains an important question for broker-dealers to ask. This guide provides a framework to help find the answer.
Data Quality Checkup for Wealth Management Firms
Free data quality checkup tool to help you evaluate the health of your data quality. This online checkup asks 10 brief questions and provides a score, summary of results, and guidance.
Webinars
Fall 2022 Advisor Compensation Planning Webinar
On-Demand Webinar
Best Practices in Financial Advisor Succession Planning
On-Demand Webinar
Best Practices in Working With Your Third-Party Broker-Dealer
On-Demand Webinar
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Case Studies
CASE STUDY
Automating Compensation Enhances Back-Office Productivity for Northwest Financial Advisors
Compensation management solution enhances productivity for wealth management firm.
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CASE STUDY
Business Process Automation Reduces Costs and Mitigates Risk
Financial services firm automates manual processes and experiences significant efficiency gains and enhanced compliance processes.
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Case Study
Fulton Financial Streamlines Commission Processing
Learn how incentive compensation management streamlined commission processing for Fulton Financial Advisors.
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Case Study
Enhancing LPL Data With Business Process Automation
Investment services firm enhances LPL data and clearing services with business process automation solutions.
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Recent Blog Posts
Upcoming Webinar: Incentive Compensation, An Underutilized Resource for Driving Key Business Results
Is financial advisor incentive compensation an underutilized tool in driving business results? Arthur Osman, principal at Kehrer Bielan Research & Consulting, believes that is indeed the case within bank broker-dealers. He argues that advisor compensation is one...
Moving Towards T+1 Settlement
In February 2022, the SEC proposed new rules to shift to a trading day plus one business day settlement (T+1) cycle for securities trades in the US. In a coordinated effort, the Securities Industry and Financial Markets Association (SIFMA), the Investment Company...
Consider Increasing Financial Advisor Headcount to Fuel Growth
In a recent article from Kehrer Bielan Research and Consulting, The Cautionary Tale of the Bank-Owned Broker-Dealer, they pointed out that banks and credit unions that work with third-party broker-dealers continue to outpace their counterparts with bank-owned...
Best Practices in Advisor Succession Planning Webinar Recap
In our recent webinar, Best Practices in Advisor Succession Planning, we explored industry trends, effective models, and the role of technology in financial advisor succession planning. Our speakers included: Arthur Osman, Consultant at Kehrer Bielan Research &...
Upcoming Webinar: Best Practices in Advisor Succession Planning
We’re excited to announce our upcoming webinar Best Practices in Financial Advisor Succession Planning, scheduled on Wednesday, June 22, 2022, at 1:00 PM CT. By now, those of us working in the financial advice industry are well aware of the looming advisor shortage....
Research Shows Financial Advisor Headcount Lags Behind Productivity in 2021
As many of you know, I'm a fan of the fine folks over at Kehrer Bielan Research & Consulting. Every year I look forward to the Kehrer Bielan Annual Checkup, as it provides leaders with the insights they need to be successful. These insights are invaluable not only...
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