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Deena Katz's Complete Guide to Practice Management: Tips, Tools, and Templates for the Financial Adviser

ISBN: 978-0-470-88532-1
400 pages
May 2010
Deena Katz


Deena B. Katz, CFP, a preeminent authority on practice management and an internationally recognized financial adviser, presents a comprehensive guide to running a professional financial planning practice.

To create this book, Katz updated, revised, and combined her two acclaimed books Deena Katz on Practice Management (1999) and Deena Katz's Tools and Templates for Your Practice (2001).

In this newly expanded volume, she presents the essentials on how to help a practice thrive side by side with the tools and templates needed for the everyday operation of your firm.

This new volume offers guidance on practice-management issues:
  • setting up an office
  • systems and technology
  • administration and staffing
  • marketing
  • growing as the market changes
  • hanging on to clients for the long term
  • succession planning when the time comes

This comprehensive resource provides sample forms, worksheets, templates, letters, brochures, and collateral materials developed and refined by top wealth managers and planners. 

From keeping the business running well by designing dynamic collateral material, to considering plans for retirement, Deena B. Katz guides advisers through every challenge a financial planning business will face.

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Table of Contents


Part 1. The Business.

Chapter 1. Determining your core values, mission, and vision.

Chapter 2. Designing the business.

Chapter  3. Marketing your business.

Chapter 4. Positioning and public relations.

Chapter 5. Designing collateral material.

Chapter 6. Profitability and optimizing.

Chapter 7. Transitioning your practice.

Part 2. The Staff.

Chapter 8. Contingency and succession.

Chapter 9. Adding a partner for fun and profit.

Chapter 10. People make it happen.

Part 3. The Client.

Chapter 11. Killing the sacred cows.

Chapter 12. New client issues.

Chapter 13. Client education.

Chapter 14. Client communication issues.

Chapter 15. Retaining desirable clients.

Chapter 16. Hiring, firing, and refusing clients.

Part 4. The Process.

Chapter 17. The killer process.

Chapter 18. Lagniappe - ideas to use and expand.




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Author Information

Deena B. Katz, CFP, is an internationally recognized financial adviser and preeminent authority on practice-management issues. She is a partner of Evensky & Katz, a wealth management firm in Coral Gables, Florida, and an associate professor in the Division of Personal Financial Planning at Texas Tech University in Lubbock, Texas. Katz is the author of six books on financial planning and practice-management topics. She served as the editor in chief of the Journal of Retirement Planning, and has been a contributing writer for Financial Advisor, Investment Advisor, Financial Planning magazine, and National Underwriter. She is a columnist for Financial Planning magazine.
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"Never has so much useful, practical information been compiled in one place for the financial advisory practice."
Bob Veres
Publisher, Inside Information newsletter

"The chapter 'The Killer Process' alone is worth the price of the book. Systematizing your practice is one of the major keys to success in this business, and Deena gives you a step-by-step guide for doing exactly that."
David J. Drucker, MBA, CFP
President, Drucker Knowledge Systems
Principal, Virtual Office News LLC

"Deena Katz continues to make important contributions to the business of financial advice. She brings years of practical experience in forming, merging, and growing a successful advisory firm, combined with insight she has gained as a teacher of financial-planning principles to college students. The result is a reference that advisers at every level will find helpful to have handy when trying to sort through critical practice-management decisions."
Mark Tibergien
Chief Executive Officer, Pershing Advisor Solutions LLC

"The power behind these very practical tools and tips is that they are rooted in Deena Katz’s solid track record of accomplishment. She matches the theory with the reality of the business."
Dale E. Brown, CAE
President & CEO, Financial Services Institute, Inc.

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