How do top RIA firms boost success and make a significant impact? – Schwab Advisor Services – 6.26.25

Summary:

The independent Registered Investment Advisor (RIA) channel continues to demonstrate long-term growth results. Some firms—Top Performing Firms*—however, are achieving even greater results than their peers. In addition to a continuously improving mindset, these firms are leaning into growth-oriented strategies that are helping them to create supersized results and long-term value for their businesses.

Discussion will cover:

• Why the RIA model is the best suited to foster Top Performing Firms
• Documenting and implementing strategic business plans
• Implementing processes that streamline operations to build scale and facilitate growth
• Leveraging artificial intelligence
• Attracting and retaining key talent

This webcast is intended to help you explore these key strategies through insights and real-world applications that have helped Top Performing Firms achieve supersized results.

Accepted for 1 CFP/ IWI / CFA CE Credit

Speakers:

Lisa Salvi is a member of the Advisor Services leadership team and is responsible for Schwab’s Business Consulting and Education offer. Her team develops and manages programs and one-on-one consulting engagements designed to help independent advisors make lasting and significant improvements within their firms by focusing on key business, technology, and cybersecurity issues. Salvi’s team leads the annual RIA Benchmarking Study, the Compensation Study, and programs that support the development of advisor talent through executive education and student initiatives. They also provide insights and tools that help the Advisor Services sales and support teams deliver outstanding client service to independent advisors.

Salvi has worked with fee-based advisors since 2003. Since joining Schwab in 2007, she has held several positions, including Chief of Staff to Bernie Clark, head of Advisor Services.

Salvi holds a bachelor’s degree from the University of California, Los Angeles, and the Series 7 and Series 24 registrations.

Nikolee Turner is the director of business and technology consulting for Charles Schwab & Co., Inc. Ms. Turner is responsible for managing Schwab’s client consulting teams that provide hands-on guidance and consulting support to assist investment advisors across the country in realizing their aspirations around growth, efficiency, and profitability. Through one-on-one consulting engagements, the consultants help advisors create strategic business plans, implement growth strategies, increase productivity, reduce cyber and operational risk, and plan for transition. Ms. Turner has been coaching, consulting, and training leaders for over 15 years and brings more than 20 years of leadership experience in talent management, driving operational efficiencies, and new product development. Prior to joining Schwab, Ms. Turner was vice president of training and consulting at Kolbe Corp where she worked with companies helping them solve business challenges, increase growth and profitability, and maximize human capital. Additionally she trained and oversaw more than 500 consultants worldwide. Ms. Turner has worked with financial services professionals, CPAs, and attorneys globally and is a speaker on business management topics at conferences and seminars. She earned a bachelor’s degree in psychology from St. Cloud State University, a master’s degree in education from Northern Arizona University, and a master’s degree in business administration from Arizona State University.

Helen Stephens, CFP^®, EA, is the Founder and President of Aspen Wealth Management. With over 34 years of professional experience, Helen oversees the organization’s operations, strategy, and growth initiatives. She works closely with the leadership team to drive the firm’s vision, cultivate a high-performance culture, and ensure exceptional service delivery to clients.

Helen’s areas of expertise include retirement planning and tax planning. She holds a Bachelor’s degree in Business Administration with a concentration in Finance from Southern Methodist University (SMU) in Dallas. Helen has been recognized for her dedication and excellence in the field, receiving numerous awards, such as D Magazine’s Best Financial Planner in DFW every year since 2019 and being named one of USA Today’s Best Financial Advisory Firms in 2023 and 2024.

Helen’s passion for financial planning is palpable. It began with her desire to help others and her enjoyment of studying the capital markets. She lives by the mantra “The good you do comes back to you,” which reflects her commitment to doing the right thing and providing free advice to those in need, even if they do not qualify for her services.

Outside of her professional life, Helen is an active member of the community. From 2014 to 2020, she served on the Trinity Habitat for Humanity board. She supports Family Pathfinders, which offers financial literacy programs for nonprofits in the Dallas-Fort Worth Area, and is a member of Jewel Charity, supporting Cook Children’s Hospital in Fort Worth. Helen is also a sustainer in the Junior League of Fort Worth.

Stephen is an associate director in the Wealth Management practice where he leads research into the registered investment advisor (RIA) channels. As part of his research, he is the author of Cerulli’s U.S. RIA Marketplace report and has written on topics including private equity investment in RIAs and the role staff play in RIAs’ pursuit of scale. Additionally, he oversees Cerulli’s Advisor Research Collaborative, an initiative that surveys over 2,000 financial advisors a year. He regularly contributes insights and quantitative analysis to strategic consulting engagements including recent work assessing M&A opportunities for large RIA consolidators and scoping marketplace fit for emerging RIA custodians.

Stephen graduated from Roger Williams University in 2016 with a Bachelor of Arts in Economics and Political Science.