Subject Root Tag

While she acknowledges the disparity women face in the industry, Lauber says that it has never stopped her from achieving her goals.

Certain trusts could have saved heirs $100 million or more — and ensured the musician’s money went to the people and causes he chose. Here are just a few of the tools he could have used.

Richard Ketchum adds that the regulator needs to take a closer look at the culture of wealth management companies to see if executives are setting the right tone: "It is essential that a firm's leadership own the policies and procedures."

The devotion Edward Jones adviser Laura Crowell has for her daughter, Olivia, and three other kids drives her thinking on tending to the needs of her clients.

Higher income may prevent retirees from qualifying for certain assistance programs because of income thresholds; plus, where retirees are moving and why.

State agencies can be aggressive in checking records.

The recruits made the move between wirehouses with two client associates.

The recruit generated $1.7 million in annual production before making the move.

The firm has named two executives to newly created positions to help build on the momentum it says it has developed in serving clients in the western U.S.

The following questions can help advisers effectively integrate a client's company assets into a financial plan, says a leading investment banking expert.

Up for vote at BlackRock’s May 25 annual meeting is a proposal asking the fund manager to reconsider how it evaluates and votes on executive pay plans.

Despite some recent rule changes, advisers still have to run the numbers on the best claiming strategies. Here’s how they are using software to do the job right.

Koch says the key for women seeking success in the industry is to invest in a combination of both knowledge and networking.

A new model of holistic financial advice is coming on the scene.

The appointment to the newly created post is part of the bank's strategy to expand its client offering.

“The SEC is notorious for blowing through rule-making deadlines—both congressionally mandated and self-imposed, such as this,” says Micah Hauptman, financial services counsel at the Consumer Federation of America.

For Vanguard founder John Bogle, the "tyranny of compounding costs" makes the difference between investors who win and others who lose.

Retirement may begin with a choice between starting benefits or taking distributions.

Commission staffers are probing how broker-dealers are handling ETFs and the extent to which investors understand the risks of the funds.

An arbitration panel ruled in UBS' favor, after the wirehouse alleged that a former adviser stole client data before moving to Wells Fargo.