Practice

As interest rates climb, advisers should diversify the fixed-income portion of their client’s overall portfolio.

She is the third generation to control the company and, like her family members, has maintained a low profile despite the reach of the firm’s mutual funds.

Creating an irrevocable trust is an option for elders to protect themselves from people who want to take advantage of their declining health and benefit from their wealth.

The former broker is accused of making false claims about his client list at Stifel to earn a compensation advance from another firm.

Advisers will not be able to serve as many clients under a fiduciary standard, which likely will encourage more cross-selling.

One tip: Stop focusing on gaining new followers.

One tip: Stop focusing on gaining new followers.

The regional firm recruited its first adviser for Alex. Brown since acquiring the unit in September, and will reopen an old office in Annapolis, Maryland.

The group, led by two brothers, joined the firm as partners and opened a new office for Noyes. It's now the firm's largest branch.

Even the best plans can fall apart when clients' emotions get involved.