Subject Root Tag

Planners have picked up some bad habits over the years. Here’s what do to about it.

It’s been a busy first year for the firm’s new chief. Jamie Price responds candidly to Financial Planning’s rapid-fire queries.

Deals have heated up. Can the rapid pace continue?

Capital is pouring into the RIA market, resulting in more deals, more competition and higher prices.

How advisors deal with grievances and arbitration can make or break a career.

Clients may want to opt for a fund that follows small companies as they will benefit from a lower corporate tax rate under the new tax law.

Once the domain of institutions, RIAs and fee-based planners are adopting artificial intelligence.

Clients won't accept complacency when a vendor is hacked. Acting quickly is key.

“We’ve had tons and tons of interest from clients," one expert says.

Regulatory changes that ended popular deductions could prompt homeowners in high-tax states to consider relocating, a survey finds.

Local jurisdictions in high-tax states are grappling with changes and headaches from the tax overhaul.

“The discussions we’re having now are, ‘Call your municipality and try to establish what your liability is. Call your mortgage holder,’” an advisor said.

In a year where the market has reached new heights, protecting client’s wealth from losses, including the costs of taxes, is just as important as generating returns.

Clients will no longer be able to undo Roth conversions once the new tax law takes effect next year.

The firm displayed inaccurate ratings for more than 1,800 equity securities to its brokers, supervisors and retail customers, FINRA alleged.

Products that best fit clients would have to be offered before those that are most profitable to the sellers, the New York Department of Financial Services said.

The firm has been driving its expansion, pulling in talent from its competition.

The Form N-PORT compliance era official begins in the second quarter of 2018.

Seniors who are 70 1/2 and older should ensure that they take their first required minimum distribution from tax-deferred retirement accounts by December 29.

Concerned about the wirehouse's "trajectory," Glen D. Smith sought out a business model his kids could join one day.