Practice

The 1,000-advisor firm is targeting $300,000-plus independent advisors, $1 million teams and $500,000 to $5 million firms.

If a client’s spouse has been diagnosed with cancer, how does everything change? How do you talk to the client, the spouse and perhaps other family members?

Institutional investment managers may soon have to report to the Securities and Exchange Commission on what say they have on executive pay at the firms they invest in.

Unlike other House Republicans, Rep. Ed Royce is not looking to repeal outright the Dodd-Frank reg reform law, but the California lawmaker is likely to try and clip its wings.

For anyone born today, the cost of four years at a private college will be about $440,000 by the time they arrive at those hallowed halls.

While advisors are clamoring for access to web-based prospecting, most broker-dealers are paralyzed over fears of a social-media snafu.

Though it bucks conventional wisdom, giants may become smaller, simpler and safer over the next handful of years if regulators properly use tools provided in the Dodd-Frank Act.

After the shocks and bumps of the Great Recession, younger Baby Boomers are already thinking about their retirement plans, and are clear on one thing: When it comes to retirement income, they want guarantees, according Allianz Life Insurance Company of America, which released a study Tuesday.

More than half of investors are maintaining their level of charitable giving in the fourth quarter—whether their advisors choose to help them or not.

The former Ferris, Baker Watts LLC will pay $500k for inadequate supervision of sales of reverse convertible notes to retail customers.