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Baird's director of estate planning reminds clients that just because they can make large tax-free gifts this year, doesn’t mean they should.

LPL Financial, the nation’s largest independent broker-dealer, announced Monday that Legacy Financial Planning has transitioned to its broker-dealer platform.

The leading accounting firms that conduct audits on the financial statements of publicly traded companies suffer from a significant and growing number of deficiencies, according to a new report by an industry oversight organization.

A winning marketing strategy takes more than understanding your target market, creating a value proposition that will attract ideal clients, communicating well, and delivering on your promises. It takes courage. That's one reason why so few business owners, including financial advisors, are effective marketers.

A Nationwide Financial survey found that 42% of advisors have clients who are asking about giving away all of their money to their children as a means of financial planning.

PIMCO's scored a patent.

It looks like Carlyle Group's planned acquisition of TCW Group from Societe Generale will not be sidetracked by an arbitration case filed by former TCW unit, EIG Global Energy Partners, had sought to block the sale.

Mutual funds may have tough times ahead, in remaining the investment of choice for a new generation of Americans. Their bread and butter: Older investors. Their weak spot: Investors under 35.

Fidelity Investments, the firm that lost its position as the biggest U.S. funds provider after ignoring exchange-traded products for years, is seeking to open an actively run ETF lineup starting with a corporate bond fund.

In January, the fabled 3.8% surtax on investment income becomes law. This surtax, included in health care legislation to bolster Medicare’s finances, is based on two key numbers. The IRS has just issued proposed regulations on one of those numbers: net investment income.