Dec. 11, 2025 – Just about all financial professionals issue year-end account summaries for their clients, but that same principle applies at the firm level as well. Top-performing firms look at their own performance at the end of the year. And the best go beyond surface-level numbers and dig deep, seeking insights they can use to set themselves up for the coming year. In a competitive advisory landscape, those measures can help unlock stronger growth, deeper client loyalty and better operational efficiency in 2026. Intentional year-end planning isn’t just a best practice—it’s a growth strategy.
With that in mind, here are seven things financial professionals should consider in a year-end review:
1. Conduct a strategic business review.
Look at overall performance in 2025, especially key metrics like firm revenue, growth in assets under management, client retention and lead generation. The process should include quantitative data and also qualitative insights, like client feedback and online ratings.
If you don’t have structured KPIs in place to capture this information, set them up now to be more objective about overall business performance in the future. Learn how to gather meaningful input with minimal effort in our blog post, Get Big Feedback With Little Surveys.
2. Refresh your client segmentation strategy.
Look at how much of your overall business comes from specific client tiers, and whether those segments are growing, contracting or remaining stable (both in assets and in client volume). Consider whether you have the right service model in place for each segment—for example, digital tools and automation for younger and tech-savvier clients or those with smaller portfolios, versus high-touch, in-person contact for older people with larger accounts.
Some firms opt to segment based on demographic profiles (like millennials, new parents or small business owners). Others segment based on their clients’ relative value to the firm (in terms of account size, referral potential or their future wealth potential) or behavioral patterns (risk tolerance, how they prefer to communicate or how involved they want to be in investment decisions).1
Equally important, look at the segments you don’t serve, to consider whether they present opportunities for high growth. Those changes could be linked to events in your community (such as a large company opening) or potential growth in a specific demographic. Tailor your processes along the entire client journey—marketing, onboarding and retention—to specific segments. For guidance on aligning segmentation with client experience, check out Map Your Way to a Better Client Experience.
3. Audit your marketing funnel.
Review all marketing channels—your website, email campaigns, social media and lead magnets. Look at conversion rates, engagement and other metrics for each channel to make sure you’re allocating resources in the right areas. Identify any gaps in content—in particular, looking to capture evolving client needs and pain points.
More broadly, consider whether your brand is differentiated and unique. More than just a logo, a firm’s brand should inform its messaging, values and the experience that it delivers for clients.2 You don’t have to do a complete rebranding, but you should definitely gauge whether your brand accurately represents your firm in the market. For practical tips, check out our post on Three Ways to Strengthen Your Firm’s Brand and explore strategies for Standing Out From the Pack.
4. Optimize your tech stack and automated processes.
Technology is changing fast, so if you haven’t upgraded the applications and solutions at your firm recently, you may be overdue. Everything should be on the table, from your CRM system and portfolio platforms to compliance systems and scheduling tools. Look for inefficiencies, outdated tools and solutions and systems that don’t mesh with each other. If you decide to replace or upgrade anything, make sure you’re up to speed on the full array of replacement options and new functionalities.
AI (including GenAI) is another consideration. Consider streamlining your workflows and routine tasks by integrating GenAI—with the right guardrails and governance in place, and with human oversight in any core decisions or communications. These tools can unlock significant gains in efficiency and productivity, and they’re increasingly part of how leading firms operate. For example, AI can document client interactions and recommend follow-up actions, removing an administrative burden from client-facing employees and delivering a better customer experience.3
5. Map out your 2026 content and outreach calendar.
You should already have a regular cadence of outreach to current and prospective clients—blogs, webinars, client events, newsletters and social media. But year-end is the time to build a more detailed pipeline, with relevant content pegged to seasonal themes, tax milestones and regulatory updates.
Your targets should be as specific and quantifiable as possible—for example, a new social media post every week, a blog every month and at least three quality leads from marketing every month. Moreover, set aside the time to manage this pipeline. In one recent study, 30% of advisors spend less than one hour each week on marketing.4 Given its importance to your firm’s growth, you need to block off dedicated time to work on marketing efforts. Explore how to amplify these efforts
through public relations in our blog post, PR like the Pros—Five DIY Tips for Financial Professionals.
6. Revisit compliance and risk management protocols.
Regulatory missteps can lead to fines, reputational damage or even loss of licensure. Prepare for audits or anticipated changes in 2026 by scheduling a Q1 compliance check-in. Review and update all regulatory requirements and disclosures. Make sure you have a clear view of emerging risks and fold them into your overall risk management structure. For example, cybersecurity is a perennial challenge, and firms need to be aware of how threats are evolving. For practical steps to strengthen your defenses, read Three Ways for Financial Professionals to Beef Up Their Cybersecurity.
7. Set personal and professional growth goals.
Neglecting personal growth can lead to burnout or stagnation. Invest in leadership, coaching or continuing education opportunities for yourself and the people on your team. In some cases, individual registrations or renewals may be required, but firms should go above and beyond baseline requirements to continue learning and growing.
These programs can help you and your employees stay on top of new standards and regulations, such as changing tax laws and retirement regulations, along with the growing range of alternative investments and other key investment topics in the coming year.5
In addition to classes—both in-person and online—consider joining professional peer groups or attending industry conferences. For employees, create incentives and adjust performance management metrics to link personal development to the overall success and culture of the firm. And, critically, communicate upgraded qualifications and professional development milestones to clients.
Year-end planning isn’t just about closing the books—it’s also about taking a comprehensive look at how you performed over the past year, so you can take the steps needed to do even better in 2026. Reflect, refine and rise.
1 Mark Stewart, “Client Segmentation for Financial Advisors,” Figblueprint, June 26, 2025.
2 “2025 Marketing Trends Every Financial Advisor Needs to Know,” AcquireUp Blog, Feb. 27, 2025.
3 Jeffrey Briskin, “Adapt and thrive: 8 trends that will impact advisors in 2025 and beyond,” Proactive Advisor, March 19, 2025.
4 “7 Smart Strategies for Financial Advisors to Market More Effectively in 2025,” RFG Advisory Blog, Feb. 5, 2025.
5 Alec Stout, “The Importance of Continuous Learning for Financial Advisors in 2025 and Beyond,” Stonewood Financial Blog, accessed Nov. 24, 2025.
The information provided only summarizes complicated topics and does not constitute financial, legal, tax, or other professional advice. Further, the information is not all-inclusive and should not be relied upon as such.
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