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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.

Michael Solomon oversaw a staff of 350 people at the regulator, according to his new employer.

Bill Drew had been with Morgan Stanley and predecessor firm Smith Barney since 1995.

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.

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.