Wealth Management Services

Wealth Management Resource Library

 DocumentAudience
Recognizing Liquidity: Being Ahead of the Event
This paper focuses on strategies and tactics advisors can use to capitalize on “money in motion” events, particularly business owner and corporate executive events. It includes an appendix of 25 profiling questions for advisors.
Advisor
Creating Your Short-Form Pitchbook
This workbook will walk advisors through the process of developing a short-form pitchbook for use in marketing their wealth management services.  It details key components that advisors should incorporate into their pitchbook to differentiate their practice and promote consistent delivery of their marketing message.
Advisor
Building a Personal Brand
In order to differentiate themselves in today’s crowded market, financial advisors need a client-centered brand that is compelling and unique. A personal brand consists of a clear and thoughtfully constructed value proposition that is effectively communicated through conversations, written materials (including pitchbook) and online presence (including website and social media). This white paper provides advisors with concepts, tactics and implementation techniques to help them holistically create and communicate their own distinctive brand.
Advisor
Building Your Practice by Serving Foundations and Endowments
This white paper provides a comprehensive look at foundations and endowments and how they can affect an advisor's business. It defines the market opportunity represented by these organizations, identifies ways to prospect them as clients and suggests a seven step process for working with them.
Advisor
Client Advisory Board Orientation Package
This client advisory board orientation package offers sample templates of a board member welcome letter, advisory board bylaws, and an appointment acceptance form.
Advisor
Sudden Fortune, Fame and the Dire Need for Financial Advice: Professional Athletes
Some of the highest paid athletes in the world are declaring bankruptcy; according to Sports Illustrated, 78% of former NFL players have gone bankrupt or are under financial stress within 2 years of ending their professional careers and 60% of NBA players are broke within five years of retiring from the game. Professional athletes are not your typical high net worth client, facing unique emotional and financial issues. Additionally, they receive substantial earnings over a very short period of time that needs to be converted into a lifetime of financial security. It is clear that there is a desperate need in the market for financial advisors to help young professional athletes avoid financial distress and by using a slightly tailored approach, this market can be reached.
Advisor
The Mindset of the Millennial
To help retain and capture new assets, advisors must understand the key characteristics of Millennials and their differing priorities. This paper explores Millennial attitudes toward money and how advisors should approach talking to the next generation of clients.
Investor
Creating a Successful Advisory Practice workbook
This interactive workbook will help financial advisors best communicate the value they bring to their clients and develop a plan to successfully communicate fees to those clients, while avoiding common mistakes that can be detrimental to an advisor’s business.
Advisor
Behavioral Finance: Money Over Mind
This paper educates advisors on the history of and recent developments in behavioral finance, identifies emotional investor behavior and provides approaches to mitigate negative effects on returns. It goes beyond basic behavioral finance education, and identifies situations to look out for and provides specific planning tools and processes to counteract various behaviors.
Investor
The Financial Advisor Interview: Asking the Right Questions
This briefing paper provides a list of questions, organized by category, to help investors determine the services, expertise and overall relationship provided by a financial advisor.
Investor
Client Advisory Boards: An Important Tool for Referrals and Feedback
This paper discusses the benefits of a client advisory board, suggests some best practices for creating a well-structured board, and provides sample topics and recommendations for a meeting agenda.
Advisor
The Value of Professional Advice - Investor
This paper discusses some of the benefits investors may experience by seeking professional financial advice, discusses important factors to consider when selecting a financial advisor, and provides a list of sample questions to ask when interviewing advisors.
Investor
Business Planning Essentials Workbook
This workbook gives advisors a framework for developing a business plan that meets their unique practice goals.
Advisor
Ten-Plus Business Plan Essentials
The advice industry is aging along with its clients, and many advisors are considering retirement. This checklist provides a timeline-based framework to help an advisor plan to transition his or her business.
Advisor
Advisor Succession Plan Checklist
The advice industry is aging along with its clients, and many advisors are considering retirement. This checklist provides a timeline-based framework to help an advisor plan to transition his or her business.
Advisor
LinkedIn "NET"iquette: Do's and Don'ts of Prospecting
Prospecting for clients through social media means learning a new type of etiquette, or "net"iquette. This brochure explains best practices for prospecting using LinkedIn and provides short stories illustrating common situations.
Advisor
Maintaining Perspective in Down Markets
This paper provides insights into the eleven bear markets since World War II - exploring duration, severity, recovery and lessons to be learned from down markets.
Investor
Thriving in a Brave New "Robo" World
Robo advisors and online investment platforms are garnering attention for the assets they are generating and their potential effect on the financial advice industry. This paper explains the threat robo advisors pose to human advisors and provides a detailed plan with skills advisors can develop to successfully compete against robo advisors.
Investor
A Guide to Building Lasting Relationships with the Female Investor
Women represent a large and growing market segment, which presents an attractive opportunity for financial advisors to grow their practices. However, female investors have extremely high rates of dissatisfaction with their advisors and are underserved by the financial services industry. Women are an increasing proportion of the affluent; they are becoming more financially independent and inheriting more wealth. The female investor is an inherently different type of investor than the male investor; therefore the traditional financial advisor framework that is successful with male investors will not be adequate for today’s women of wealth. Advisors must learn to tailor their services to their existing and potential female clients.
Advisor
Helping Clients Manage Debt Decisions
A complete personal finance plan includes managing assets alongside managing liabilities. This white paper explains levers advisor should use to help clients analyze debt decisions, such as interest rate, tax and collateral considerations; discusses how debt can be used to realize certain financial planning strategies, specifically for retirees, those looking to transfer wealth to younger generations and business owners; and includes interviewing questions to help advisors have an honest conversation with their clients about debt.
Advisor
Debt Decisions and Liability Management
A complete personal finance plan includes managing assets alongside managing liabilities. This investor-approved paper explains levers investors can use to analyze debt decisions, such as interest rate, tax and collateral considerations, and discusses how debt can be used to realize certain financial planning strategies, specifically for retirees, those looking to transfer wealth to younger generations and business owners.
Advisor
Client Discovery: Enhancing the Interview Process
This paper addresses key attributes of an effective interview through the following elements: understanding the context, benefits and goals of an effective interview, key profiling questions, a document checklist, post-interview steps, plus a list of additional resources.
Advisor
Seven Savvy SECRETS of Financial Health
This briefing paper provides an overview of personal finance issues using the “Seven Savvy SECRETS” as a guide. The acronym SECRETS stands for: Solid financial foundation, Employee benefits, Charitable giving, Retirement planning, Experienced financial counsel, Transition planning and Staying on track. This paper is broadly applicable as an introduction to personal finance issues and includes tips specific to women in certain situations, such as divorcees, widows and female creators of wealth. A list of further resources is included.
Investor
Seven Savvy SECRETS of Financial Health workbook
This workbook is an interactive tool for women investors to reflect on the 7 Savvy Secrets of Financial Health. The SECRETS are an acronym for the 7 principles for financial health: Solid financial foundation, Employment Benefits, Charitable giving, Retirement planning, Experienced financial counsel, Transitional planning, and Staying on track.
Investor
Personal Profile - Excel Document
An Excel worksheet available for advisor use of a personal profile format which can be used to assemble important client information including professional advisors; personal, investment and retirement assets; facts about closely held business interests or professional practice; wealth transfer information; retirement and disability benefits; and income. (Hypothetical example and does not represent an actual person or firm.)
Advisor
Personal Profile Example
This is an example of a personal profile format which can be used to assemble important client information including professional advisors; personal, investment and retirement assets; facts about closely held business interests or professional practice; wealth transfer information; retirement and disability benefits; and income. (Hypothetical example and does not represent an actual person or firm.) An Excel worksheet is available for advisor use.
Advisor
The Value of Professional Advice - Advisor
This paper explores the various benefits of professional financial advice, considers ways to approach common fee-related client conversations, and discusses best practices for communicating value to current and prospective clients.
Advisor

"Advisor Practice Development" content on Nuveen Investments Wealth Management Services’ website contains informational and educational materials relating to financial matters. Such materials are not intended to constitute an offer, solicitation, recommendation or advice regarding any securities, funds or investment strategy. Materials are current as of the date indicated on each piece, and such materials may become outdated or otherwise superseded at any time without notice to you.

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