Practice

Bruce Karpati, the former national chief enforcement officer of the SEC's asset management unit, has been named chief compliance officer for Prudential Investments.

“This is not an easy business,” Carson told an audience on Thursday of over 500 advisors at the 24th Peak Excell Meeting. “It is a rewarding but difficult business … and we have to constantly reinvest and reinvent.”

Want a technology investment with a real payoff? Steer clear of hot Internet stocks. Instead, make a technology investment in your own practice.

For solo practitioners, who's got your back? Here's how one group of RIAs decided to support each other.

Personnel development is key to making firms successful. The risk of not putting in the effort to develop employees is having potential successors walking out the door.

Advisors are not doing a good enough job planning for health care costs. To better serve clients, advisors must understand the realities of health care, despite many unknowns.

Which financial institutions "get" LinkedIn? Jennifer Grazel, the social media network’s global head of category development - financial services, offers up several examples.

Among pre-retirees who worked with advisors, 73% said that did not expect to carry debt into retirement.

There are certain common traits and behavioral patterns of the more effective advisors, according to blogger Ken Haman. Of course, not all advisors demonstrate every one of these characteristics, but most of the highly successful people he's been privileged to work with exhibit at least several.

In order to capitalize on the opportunity to focus on female clients, you may be required to break some habits of the past.