Practice

Sales agents and advisers interact very differently with clients, columnist Bob Veres says. Here's how to tell which category applies to you.

Only 18% of RIAs refrain from these key conflicts of interest, a new study by the Institute for the Fiduciary Standard found.

High-yielding investments come with a significant risk, as exemplified by ETFs that own energy-focused master limited partnerships.

Additional guidance on the new regulations will come regularly, according to Deputy Assistant Secretary Timothy Hauser.

Advisers who impress senior management can sometimes walk away with bigger offers.

It may seem like a no-brainer for RIA owners to look within the firm when they retire. Yet this assumption overlooks critical aspects of what an internal succession plan actually entails, says consulting executive David DeVoe.

By taking the right steps, advisers can convince loyal clients to follow them out the door.

Advisers who impress senior management can sometimes walk away with bigger offers.

Time, talent, terms and treasure should be on the checklist of those planners exiting the business.

Clients who turned 70 1/2 this summer have to act fast on their distributions to avoid paying a hefty penalty to the IRS. Plus, giving away stocks versus selling them.