Portfolio

LPL Financial says the pace of new advisors affiliating with the firm has slowed from the levels of late 2013 "in part due to disruptive weather."

It's not just young investors with few resources who go online to research advisors. Even HNW individuals will check out your cyber bona fides.

People underestimate the chances of dying from likely causes, like heart failure, while overestimating the chances of dying from an unlikely cause, like murder. This can cause big mistakes in retirement planning.

It's not just young investors with few resources who go online to research advisors. Even HNW individuals will check out your cyber bona fides.

In particular, the commission is looking for cases when advisors trade on behalf of clients without written disclosure and consent, or fail to process a trade on the most favorable terms for their clients, says an enforcement division co-chief.

Household wealth in the U.S. increased from October through December, as gains in stock portfolios and home prices boosted Americans' finances.

The advisor groups advocating for SEC vs. FINRA oversight of the RIA sector are turning their lobbying efforts away from the House.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?