Practice

Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.

More wealth management pros are joining mastermind groups, driven by the growing realization that the isolation that comes with running a business can hold back the business’s success.

If the client makes a mistake, they are advised to take the RMD as soon as they discover it so they can ask the IRS for a waiver of the penalty.

Make sure your conversations with clients include variations of this theme. It's not a bad way to approach your own big decisions, as well.

In the land of tech startups, there's real demand for planners — ones who can embrace the best of robo practices while keeping the human touch.

One of the recruits has 46 years of industry experience.

Investors with this trait are a lot easier to work with, says UBS advisor William Wilson.

The company said it might have to spend as much as $2.7 billion to resolve a variety of investigations and other legal troubles.

Those who signed up in the past year will get a smaller pension than they would under the old system, but they can expect additional benefits from the tax-advantaged Thrift Savings Plan.

The husband-wife team left LPL after 11 years with an eye toward its rival’s tech and service offerings.