Banco Popular de Puerto Rico

In a still male-dominated industry, does the network help attract and keep more women at the firm? CEO Shirl Penney says yes and has the results to prove it.

Three things to focus on when you’re starting an RIA.

Given that I must disclose on my Form ADV that we accepted the aid, I had to ask myself difficult questions about possibly over-zealous regulatory scrutiny as well as my firm's reputation, this advisor writes.

This three-tiered model may help.

Finally, I was able to talk openly about how financial services can be more inclusive of women and people of color. But did I have to leave to do so?

The decision does not diminish the board's conviction that consumers have a right to know how they are paying for products and services, writes the former board chairwoman.

There is quite a bit of data indicating planners timed the markets poorly during the financial crisis. Let's not make the same mistakes again.

Restoring fee-model disclosures to its website is just the first step in correcting the organization’s “monumental failure,” according to fiduciary watchdog Ron Rhoades.

You might consider an assistant, paraplanner or even another full-fledged advisor. I won’t debate the importance of these roles, but I would like to offer an alternative for your consideration.

For firms that haven't recently updated their capabilities, the next few months will be a rough wake-up call.