Practice

Advisors' most pressing questions on the proposal get answers from SEI's head of practice management solutions.

A retirement trust used as the beneficiary for IRAs can ensure clients leave enough behind for their kids.

These entrepreneurs made the leap into finance from different places, but they share a common mission: robos for women, by women.

Voices: Moving from a commission account to a fee-based account with an additional risk tolerance questionnaire does not equal sufficient Know-Your-Customer or suitability measures.

Firms should strike a balance between modernizing tools and maintaining client service, says Michael Paley, chief operating officer of Klingman & Associates.

The advisor was a compulsive gambler who continued to bet in an attempt to make his clients whole, says attorney.

The advisor also beat back Wells Fargo's $200,000 in claims for breach of promissory note.

Advisors who ignore clients’ progeny risk declining assets and a scramble for revenue sources.

Many investors are improperly using target-date funds and are losing the "set it and forget it" benefit; plus, what Social Security checks will look like if cuts are made.

As a repository like Microsoft SharePoint grows, the firm's best content gets dumped in with all the rest - the good, the bad, and the ugly.