Practice

The SEC has already missed its end-of-the-year deadline on laying down rules for so-called crowdfunding of new companies. But FINRA has jumped into the regulatory void, issuing a voluntary form for prospective funding portals.

You don’t have to go it alone, but finding the right partner is critical.

Et tu, Ned Johnson?

When it comes to ultra-high-net-worth investor, more money means they want to remain more hands on.

Every once in a while, advisors are presented with special opportunities to build trust and win client loyalty. It’s when clients are feeling excessive fear, uncertainty, or doubt, that it is your responsibility to reassure them, educate them, and guide them. With so many factors impacting your clients right now, what do they need from you?

You aren’t the only one who is swamped during the day. There are bound to be people you can’t reach.

More than eight in 10 American millionaires believe that each generation should be responsible for creating its own wealth, up from 65% who said the same thing in 2007 when the survey was last conducted.

As the wealth management industry continues to evolve, financial advisors have a broader range of choices than ever before in determining the structure and growth trajectory of their own practices. Competition for successful advisors with strong books of business among the wirehouses remains fierce, while opportunities for ownership in that world remain elusive.

One day after Goldman announced that it was publishing daily “shadow values” of its money funds, J.P. Morgan Funds and BlackRock are also planning to publish net asset values for their own money funds.

Fresh from year-end tax planning meetings with clients, it is time to identify four areas where great tax planning and great financial planning collide, specifically for people accumulating wealth.