Portfolio

Profits are up at the wirehouses, but how do the firms compare to each other at the end of the third quarter?

Competitors are 'welcome to call' clients, says new CEO Douglas Wolford, who replaced David Zier after the latter's suicide -- but none have left, he says.

How many frustrated family members are going to take aging clients' assets away from your management because you don't know how to protect a vulnerable client?

LPL spent $32 million on fines and restitution for the nine months ending Sept. 30 -- about twice the amount the firm spent on such expenses in the prior two years combined.

Raymond James Financial's private client group contributed to record profits for the company on strong performance.

Converting a traditional IRA to a Roth account before year's end can be a great strategy in tax planning; Plus, the myth of the dumb 401(k) investor and the new wage base for 2015 Social Security taxes and benefits

The Internal Revenue Service issued two items of guidance Wednesday in response to the need for charitable and other relief due to the Ebola outbreak in West Africa.

Looking for highly-rated U.S. equity mutual funds that don't rip you off in fees? Here are 10 good bargains, according to data on Morningstar.com.

"We have to continue to grow and we'll be looking at acquisitions, mergers, tuck-ins and roll-ups, all of the above," says Mark Allen, president of Nebraska-based Allen Capital Group.

The SEC has moved ahead with rules mandating that many advisors implement policies and procedures to help shield their clients' information from scammers.