Wealth Management Process (Wealth Management: Working with Private Clients

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Stephen M. Horan, CFA
Source: CFA Institute

Stephen M. Horan, CFA, is head of University Relations and Private Wealth for CFA Institute. Dr. Horan leads a team of content specialists who develop educational content for CFA Institute members and the serious investment professional. His area of specialization is private wealth management. Prior to joining CFA Institute, he was a professor of finance at St. Bonaventure University, principal of Alesco Advisors LLC, and a financial analyst and forensic economist in private practice, providing expert witness testimony and preparing economic impact studies. Mr. Horan also served as account manager with Manning & Napier Advisors, Inc. and as stockbroker with Quick and Reilly, Inc.

Dr. Horan edited the volume Private Wealth: Wealth Management in Practice, a comprehensive guide to personal investing and wealth management, and has published two editions of the Forbes Stock Market Course. He is author of numerous articles in leading peer-reviewed journals, such as the Financial Analysts Journal, Journal of Financial Research, Journal of Wealth Management, and Financial Services Review. Dr. Horan has also published monographs commissioned by the Research Foundation of CFA Institute. He received numerous research grants and has written for the CFA Program curriculum. His award-winning research has been profiled in leading practitioner publications, including CFA Digest and Barron’s, as well as the popular press, including the Chicago Tribune and Baltimore Sun. He is a frequent columnist in the Financial Times and is frequently cited in the media, including The Wall Street Journal, CNBC, Investment News, Money Magazine, and The South China Morning Post. Dr. Horan is also an associate editor for Financial Services Review and serves on the editorial board of the Journal of Wealth Management.

Dr. Horan has served CFA Institute as both associate editor and abstractor for CFA Digest and ad-hoc reviewer for the Financial Analysts Journal. He also served as education chair for the CFA Society of Buffalo. Dr. Horan earned a BBA in finance with a minor in mathematics from St. Bonaventure University and a PhD in finance with a minor in economics from State University of New York at Buffalo.

This information is accurate as of the date of posting.



Disciplined wealth management is necessarily grounded in a structured process. This course describes the major elements of the detailed wealth management process and provides an overview of wealth management as a professional discipline.

This course is expected to take approximately 1 hour to complete. A certificate of completion can be accessed and downloaded from the Learning History tab. This course is part of the collection, “Wealth Management: Working with Private Clients.”

Select the Launch button above to log in and access this course as well as your personal learning history for online courses.

This content is provided for continuing professional development purposes and is not intended to be used as a substitute for study for any CFA Institute candidate program.
US$0.00 Member | US$0.00 Candidate | US$25.00 Nonmember
Credits · About the CE Program
1 CE (including 0 SER) Manage CE Credits

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