Portfolio

Firms should reach out to clients early to pre-empt potential downturn in their portfolios, FINRA said.

The use of social media within an advisory practice has been the subject of much debate within the industry, but one of the most common arguments for advisors limiting or altogether barring sites like Facebook and YouTube within the firm -- compliance -- might be dramatically overstated.

It’s all about the story – if you want to attract and retain more women clients an advisor consultant told attendees at the Schwab Impact conference.

Married clients can arbitrage Social Security benefits for maximum long-term payouts.

Deciding whether to impose a uniform fiduciary standard for brokers and investment advisors was a “high priority” for the SEC, but there is no timeframe for a rule, Commission Chair Mary Jo White said.

Wealth, widowhood, retirement strategies and practice management tips were all in focus in at the Women Advisors Forum in Chicago in October. Here are a few of the smartest things we heard in Chicago.

Manage Income Expectations

New registrants with the SEC or veteran advisors who haven't been examined in many years can expect to hear from regulators in short order, a prominent securities lawyer told attendees at Schwab Impact conference.

Wealth management firms seeking to recruit new advisors need to first develop a clear business strategy, executives tell attendees at Schwab Impact conference.

In a business update to CFP holders, the board presents research on its Let's Make a Plan campaign, clarifies its fee-only position -- and skips a discussion of recent controversy.