Fiduciary laws trace their roots to ancient times, but the terms of the Investment Company Act of 1940 and the Investment Advisers Act are still evolving today.
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The implications to taxes, hiring and the very legacy of a financial advisor's career demand much more formal documentation than most RIAs have undertaken, experts say.
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A growing number of RIAs are offering one-time, flat-fee advisory services as part of a broader embrace of advice-only planning. But not all advisors are sold.
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One-third of financial advisors say balancing personalization with growth is the hardest trade-off for them to manage. Doing so successfully means making hard choices about what's most important for clients and the business.
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Findings from iterations of Financial Planning's Financial Advisory Confidence Outlook show which assets have stood the test of time.
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The SEC hasn't put forward a new rule for advisors' use of AI since dropping a proposal earlier this year. Is the lack of regulation hindering innovation?
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Less than a third of firms have a formal, documented plan in place, according to this month's Financial Advisor Confidence Outlook survey. Experts say this is a dangerous state of affairs.
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Political instability and other pressures are feeding some clients' portfolio fears, advisors say in this month's Financial Advisor Confidence Outlook.
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Every independent RIA has unique access to one niche: the prospects in their own ZIP code. Smart advisors can turn that information into a community-based customer pool.
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Scary good voice cloning technology means advisors can no longer believe what — or more accurately, who — they're hearing on the phone. Rigorous verification protocols are the new key to gaining client trust.
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Bad things can happen when advisory firm employees experiment with shiny new AI applications. An innocent "test drive" could trigger data breaches and compliance snafus.
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As a subscriber to Financial-Planning.com, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.
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As major insurers reduce Medicare Advantage benefits and exit markets, retirees face higher costs and limited options. Advisors need to understand the implications for retirement planning.
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It is easier to double the average client, or average up, than it is to double the number of current-average clients served, or efficiency up.
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The awards recognize early-career brokers that have created top production numbers at their wealth management firms.
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Each of the biggest firms in the channel grew substantially in 2024, but LPL's giant M&A deal to buy Commonwealth for $2.7 billion has further consolidated the ranks.
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Starting next year, more households will need to calculate or pay the AMT. The rules are complicated. Here's how financial advisors can prepare themselves — and clients — for the changes.
