Donald Jay Korn

56% said that it is “challenging” to “very challenging” to discuss such information.

The election results virtually guarantee that key portions of health care legislation passed in 2010 will go into effect next year, as scheduled. Thus, many clients will face a 3.8% surtax on investment income.

“Advisors have been told that it’s the name of the firm on the business card that’s important to clients,” he said, “so their clients won’t follow them if they go independent. We have found that it’s the advisor-client relationship that’s important, not necessarily the name of the firm.

From the start, three has been the magic number at Philadelphia-based Firstrust Financial Resources.

State securities regulators brought 399 enforcement actions against investment advisor firms in 2011, nearly double the total from 2010.

Wells Fargo Advisors Financial Network has added four practices. With these advisors its independent brokerage arm, FiNet, has over 1,100 owners and advisors in more than 540 practices, with over $55.5 billion in assets under management.

The past decade been a daunting time for stock market investors, but judicious use of alternatives could have brightened clients’ spirits, according to a study by John Hancock Financial Services.

For a new RIA to be managing $520 million for some 3,000 investors within six years is noteworthy. When that RIA was founded by an estate planning attorney, there must be a surprising reason.

More seniors are concerned about Medicare than about any other financial issue, topping even those who are worried about having enough money to enjoy retirement, according to a survey by Allsup.

Total assets in registered alternative mutual funds and exchange-traded funds are projected to reach $330 billion by year-end 2012—nearly double the $169 billion of assets in 2007. If the industry can raise advisors’ and clients’ comfort level with liquid alternatives, that figure could virtually double again, to $650 billion in 2017, according to a new study by Financial Research Corporation (FRC).

“We see RIAs increasing market share by 0.5% to 1% a year,” said Scott Smith, an associate director at Cerulli. “as the full-service firms experience an erosive but not a catastrophic decline.”

The Social Security Administration announced a 1.7% cost-of-living adjustment for 2013. That adjustment will also cause an increase in the maximum amount of earnings subject to Social Security tax.

Go West (and go soon) for Dynasty Trusts. The top states for these products are South Dakota, Alaska, Nevada.

Cambridge Wealth Counsel has been called a top wealth management firm, but this Atlanta-based RIA's story is certainly a bottoms-up tale.

Main Street Americans may not spend much time fending off solicitations from giant advisory firms but they certainly stroll through shopping malls. In a few upscale centers, they’ll find an America’s Retirement Store, where they’ll be welcome.

About 15% of affluent investors are considering a move within the next month. The most likely landing spot is Vanguard, followed by Fidelity and USAA, according to a new monthly survey by Phoenix Marketing International.

"In five years," Brian Holmes of Los Angeles-based Signature Estate and Investment Advisors predicted, "I expect that we'll manage more than $5 billion, with revenues over $30 million."

For large U.S. companies and their employees, health care premiums continue to rise, albeit slowly. Meanwhile, most employers are reevaluating their retiree health insurance strategies, planning more emphasis on the individual rather than the group market.

Ownership of 401(k)-type plans among families participating in an employer's retirement plan more than doubled, from 31.6% in 1992 to 79.5% in 2007. Three years later, during the financial crisis, 401(k) ownership continued to increase.

Fort Pitt Capital Group has a split personality. As an RIA, the Pittsburgh firm has $1.2 billion under management. As a fund provider, its Fort Pitt Capital Total Return Fund is 10 years old, with a five-star Morningstar rating for 10-year performance.