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Class-action lawsuits inspired by the DoL regulation “may go away,” says a prominent ERISA attorney.

Recent actions by the federal government are not helping Americans to improve their retirement prospects, says analyst.

John helped found the coalition between the board, NAPFA and the FPA.

The season isn’t over yet ― check out these reading recommendations from the C-suite.

The execs were moved up to roles overseeing key markets in the New York Tri-State and mid-Atlantic regions.

The group previously generated almost $2 million in annual revenue, according to their new employer.

The advisors come from a firm reported to manage over $5 billion in assets.

For any advisor caught in trying circumstances, it's natural to feel upset. But there's a constructive way to respond to challenges.

The deal will give the firms more resources to boost their technology and spur growth, according to an industry observer.

A judge issued a ruling after intensely scrutinizing advisors' emails and text messages to clients.

Mounting concern over the potential impact of rising interest rates has many investors seeking lower-cost options.

Naming a young grandchild as beneficiary of a traditional IRA could be a wrong move, as the distributions will be subject to the "kiddie tax."

There wasn’t a lot of diversification among the top funds as technology has dominated the market gains in recent years.

The rep took more than $1,500 from the bank's cash drawer over a three-month period beginning on New Year's Eve last year, FINRA claimed.

More than 80% of the richest clients want big asset growth later in life, according to a new UBS survey.

Concentrate on the factors that you and your clients can control.

Investors in his $1.4 billion closed-end offering saw huge gains as a result of stellar performance from his $88.9 billion Income Fund.

The most important consideration when changing firms is not to tell anyone, other than your spouse, business coach or consultant. An advisor should never mention a move being contemplated.

Becoming a top producer and a respected professional isn’t an endpoint, it's a process. And successful advisors, who are always thinking five years ahead, have a definite plan to get there.

There aren’t enough hours in the day to get everything done, and it’s easy to get distracted by all the things that come up unexpectedly during the day. But successful FAs are able to minimize distractions and focus on critical tasks.