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Some call it 'relentless,' but scouting for the best candidates has resulted in a better array of services from the industry's top firms, says leading recruiter Mark Elzweig.

The SEC found that auditing or testing would likely have revealed deficiencies in controls that allowed an employee access to client information at the wirehouse, says leading compliance expert Alan Foxman.

Some advisers and their clients are running afoul of an IRS rule, and oversights can result in substantial penalties.

Spousal benefits and survivor benefits appear very similar, but scratch a little deeper you’ll find a tangle of regulations and features. Here’s how to unwind them.

The investment "helps with institutionalizing our firm," said Andrew Rabinowitz, Marathon Asset Management's newly appointed president.

Investors are flocking to low-volatility, where nearly all ETFs are outperforming their respective markets — be it large-caps, small-caps or international equities.

If done in a disciplined, thoughtful way, financing can play a pivotal role in the successful launch of a new independent RIA.

Rather than getting unnerved, here are actionable ideas.

Ash Narayan "secretly siphon[ed] millions of dollars from accounts he managed for professional athletes," the SEC alleged.

Clients who are currently investing for retirement should anticipate a paltry long-term return given today's market conditions, says BlackRock Chairman and CEO Larry Fink.

The firm is accused of negligence, breach of contract and other misconduct, according to a copy of the award.

BIC took a fresh look at its top program managers and re-ranked them based solely on team assets under management.

An arbitration panel ruled that the firm had failed to properly supervise the adviser.

Our latest Industry Leadership Forum produced more questions than answers, but many participants expected changes in adviser compensation.

The strategy raises tricky tax reporting and regulatory questions.

Working with exactly the right type of client will enable you to accelerate your success in a way that working with every type of client never can.

Executives from the Alternative and Direct Investment Securities Association discuss challenges the nontraded REIT industry faces in light of the DoL's newly introduced fiduciary rule.

Taxes may dictate whether assets fit into a regular or a retirement account.

The proposals would enhance retirement security for those who depend most on the program; plus, three ways to lower long-term-care insurance premiums.

Whether clients are making 529 plan distributions, a direct tuition payment or an in-kind gift, for grandparents, timing is everything.