Resources
Advice, best practices, and thought leadership for investment firms. Grow your knowledge and your business.
Upcoming and Recent 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
Featured Customer Stories
Automating Compensation Enhances Back-Office Productivity for Northwest Financial Advisors
Discover how Terrapin’s compensation management solution enhances productivity for this nationally recognized wealth management firm.
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Business Process Automation Reduces Overhead And Mitigates Compliance Risk
Learn how a Fortune 500 wealth management firm increased efficiency and improved compliance processes with workflow automation.
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Fulton Financial Streamlines Commission Processing With Terrapin Technologies
This case study explores how compensation management software streamlined commission processing for Fulton Financial Advisors.
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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.
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 provides a score, summary of results, and guidance.
Recent Blog Posts
Understanding and Overcoming Technology Adoption Challenges
Thomson Reuters Regulatory Intelligence’s annual survey on fintech, regtech, and the role of compliance in 2021 reported that “the adoption and implementation of technology has taken a huge step forward during the pandemic and sector growth is expected to accelerate...
Understanding Direct Business: An Overview for Wealth Management Firms
Defining Direct Business Direct business is not a well-understood model within the wealth management industry, and there is little authoritative information on the practice. To further confound an already obscure topic, direct business goes by many names, including...
Tracking the Right KPIs Remains a Struggle for Wealth Management Firms
A recent article from industry research group Kehrer Bielan Research & Consulting, Needed: Better Tracking and Reporting, highlights how tracking the right KPIs remains a struggle for many wealth management programs. It affirms our belief in the importance of...
Fall 2022 Advisor Compensation Planning Webinar Recap
The foundation of a successful incentive compensation design is built on strategic planning and benchmarking. As the fall season is upon us, now is the time to develop your advisor compensation plans for the upcoming year. In our Fall 2022 Advisor Compensation...
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...
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Advice, resources, and thought leadership for wealth management firms. Grow your knowledge and your business.