RIAs

An in-person getaway offered substantial benefits to members of an online, geographically diverse mastermind group. The group had a few tips for other advisors.

We've restructured our planning sessions so that our advisors team up with a second CFP to deliver more robust advice. Here are three ways the approach pays off.

"The bar of expectations among advisors has been raised by their experience with a best-in-class website," says the author of a new report in which advisors ranked fund managers.

A recent coaching seminar has me recalibrating my understanding of practice management. You may need to adjust yours, too.

The commission alleges that the advisor and his associates defrauded investors by concealing key information about unpaid debts in two rounds of securities offerings in farm loan ventures.

Three advisors were stripped of their CFP designations, 13 were suspended and seven were publicly admonished for technical infractions.

Financial advisors of all stripes have to adapt to evolving technology and increasing competition from online brokerages and other investment firms. Automation tools can help.

The association of state securities regulators has proposed a rule that would compel advisors to maintain formal business-continuity and succession plans.

Both wealth managers, who left UBS, also had a combined $289 million in client assets before making the move, RBC said.

About a quarter of fee-only advisory firms we surveyed in February said they had changed their fee structure in the past year (as did 20% of all independent firms). So what did they do? We combed through respondents' individual comments to identify several of the changes firms have made.