Maddy Perkins

Investors are flocking to passive funds, but that doesn't mean advisors should ignore the active strategy--both are still relevant for clients.

Compliance experts Brian Hamburger and Robert Molinari offer up best practices for preparing for SEC and FINRA audits.

RIAs Barry Ritholtz, CIO of Ritholz Wealth Management and David Lyon, CEO of Main Street Financial and Oranj say they've incorporated digital tools into their business models -- partly at the behest of their clients.

With roughly half of American marriages ending in divorce, advisors are likely to find themselves helping clients navigate the process. Financial advisor and divorce expert Michelle Fox warns advisors not to make clients promises they may not be able to keep.

A federal court ordered an investment advisor to pay more than $1 million in fines regarding two fraud cases.

After more than two decades on the institutional side, financial advisor Catherine Miller talks about transitioning to wealth management

Trust is integral to any advisor-client relationship -- but what happens when clients hold back information that's critical to their financial health?

Johnny Dawson explains how the values he learned while serving his country guide the way he serves clients today.

The firm said pretax profits for its global advisory business rose 24% from the year ago period.

One of the advisors managed about $200 million in client assets while working for the wirehouse. The other joins a $500 million team at Janney, the firm said.

New Fidelity research zeroes in on the best practices of RIAs who the custodian identifies as 'marketing leaders.' See what sets them apart.

Overall client satisfaction with investment firms held steady, but the J.D. Power report identified at least one missed opportunity for advisors.

The wirehouse welcomed back Michael Casey after a stint at Morgan Stanley.

A former RBC team that had over $1.25 million in combined production has joined Janney Montgomery Scott.

Women tend to have similar priorities to men, but an array of different challenges. A recent Pershing study outlines six key differences that advisors should consider when working with female clients.

Wealth managers who managed over $800 million in combined client assets have joined the wirehouse, according to a spokeswoman.

A one-time wirehouse receptionist, at a time when there weren't many women in the business, now runs her own practice.

Do women investors really care about the gender of their advisor? Conventional wisdom says yes, but a new study offers a different perspective.

Yes and no, experts say. But it's a thorny issue given that many IBD advisors consider themselves fiduciaries and do most of their business through RIAs.