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President Tom Naratil says the firm will recruit less, spend more on advisers already at the firm and give additional power to branch managers.

The decline could be attributed to poor market returns and the plans' auto enrollment feature.

The president makes good on his vow to kill legislation that would roll back the new regulations on retirement plans.

Wealth management "is the least tech literate of all financial services," says Michael Spellacy of PwC.

The regulator also says that the firm suffered from supervisory failures during a four-year period.

Here are ways to engage them in more positive thinking when the market gyrates.

Choosing where to allocate resources is never easy, but a grid, similar to this one used by Commonwealth’s Joni Youngwirth, can help.

Being able to prove past production means the difference between a great deal and no deal when you're switching firms.

It's expected that digital platforms will help advisors focus their offerings to serve specific client segments.

Customers will have two investment options: an ETF-only portfolio and one that includes actively managed mutual funds, along with index funds.

The question a Cetera advisor says he never wanted to get from a client: "How come this is $88,000 instead of $100,000?"

For the first time, ETFs are the most-popular options for both bonds and stocks from developing nations.

While mostly the purview of the big firms, smaller RIAs can get in on the act too. But they need to do their homework first.

Clients in their 50s need to save aggressively, pay off their mortgage and other debt, downsize and make the most of the tax breaks they deserve.

John Zimmerman, president of an asset-management firm, will lead a team of approximately 10 professionals.

The new regulations are “arbitrary and capricious," a trade organization asserts.

The recruit was overseeing 100 advisers responsible for $15 billion in client assets before joining the breakaway firm.

Prior to her financial services career, the recruit was a U.S. Army reservist working as a Russian linguist.

The ultrawealthy are taking more conservative positions this year, but younger investors are still bullish, according to a recent industry study.

Advisers also noted a dip in their clients’ retirement savings activity after the tax filing deadline passed.