Practice

In an unusual move, the two veteran advisers left the independent channel to rejoin an employee broker-dealer.

Previous investors were happy to let a Canadian firm be the sole investor, says Bill Harris, CEO of Personal Capital.

From handling the unexpected death of a partner to upgrading tech, planners give their best advice for building a successful practice.

The regulator says the firm had "widespread failures" in its anti-money laundering programs for both its employee and independent channels.

While large brokerage firms pilot digital advice platforms, D.A. Davidson is holding back to see what works and doesn’t, says a top executive.

Megent is planning to expand its union-sponsored retirement plan services.

Even after Congress phased out two popular claiming strategies, you should remind clients they can increase their benefits simply by being patient.

Funds targeting the industry's youngest retirement investors often take the most aggressive allocation strategies – which had the best five-year returns?

The new recruits are industry veterans who oversaw more than $330 million in client assets.

Advisers, get ready to track — and secure — client information streaming in from physical properties and a vast array of accounts.