Firm Stability Insights
The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.
Financial Advisors Don't Work In a Vacuum
Staying up to date on your advisor is a great first step; but it doesn't give you the whole picture. True security comes from being confident in your advisor and their firm.
Firm Stability Insights
See historical data and spot trends in eight leading indicators of firm stability.
Monitoring Alerts
Receive biweekly alerts on changed data for any monitored advisor's firms.
Key Indicators for Firm Stability
Stay informed with our comprehensive firm stability insights. Monitor key indicators to make informed decisions about your financial advisor.
New Regulatory Disclosures
Any regulatory disclosures for the firm or advisors at the firm.
Total Assets Under Management
Growth can indicate expansion, while a sharp decline could mean trouble.
Advisor Headcount and Retention
High advisor churn could signal instability, while steady growth could be a strength.
Client Acquisitions and Retention
How well a firm is acquiring and retaining clients.
Disclosure Updates
Key updates to existing regulatory disclosures.
Average Account Values
Can be an indicator of fit. Does the firm manage accounts similar to yours?
Client-to-Advisor Ratio
An indicator of how much personalized attention you might get.
Leadership Changes
Changes in direct owners and/or executives may signal a turning point.
Regulatory Disclosures and Form ADV Updates
Disclosures don't always mean trouble; but they can be red flags. Our Advanced Monitoring tool alerts you of all disclosures at your advisor's firm; not just those involving your advisor directly.
Track new disclosure events for better decision-making
Biweekly email alerts ensure you know as soon as possible
Form ADV amendments include updates on past disclosure items
How To Get Firm Insights
Getting started is as easy as 1-2-3Monitor
You'll be able to see Firm Stability Insights for any advisor you monitor in AdvisorCheck.
See My Monitored AdvisorsClients-to-Advisor Ratio: Your Key to Personalized Attention
The Clients-to-Advisor Ratio is crucial for assessing the level of personalized attention you can expect from your financial advisor. By monitoring this ratio, you can identify trends that indicate whether advisors can provide the dedicated, personalized service you deserve.
Advisor Headcount
Monitoring advisor headcount is essential, as a sharp decline, or significant churn, can indicate internal issues. Early awareness of these trends lets you address problems before they escalate; acting as a smoke detector for potential risks to your financial well-being.
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Understanding AUM
Assets Under Management (AUM) changes can be an indicator of a firm's growth strategy. Rapid, uneven increases can indicate a focus on "inorganic" growth via mergers or hiring advisors with existing business. A more steady, gradual increase can be a sign of focusing on growing existing client accounts.
Context is Important
Consider the context of AUM growth. Mergers can mean changes in business practices and procedures.
Personalized Attention
Consider what kind of growth strategy serves you best as a client, and have conversations about the firm's focus.
Average Account Value
Average Account Value can be an indicator of whether or not a firm is a good fit for you. If a firm generally manages accounts that are significantly smaller (or larger) than yours, you may be better served somewhere that focus on situations more similar to yours.
