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For advisors whose clients want some of their assets in real property, the current rebound creates both opportunities and challenges. Want to understand these clients a little better? A recent survey took a deep look at investment real estate buyers and identified several characteristics that set them apart.

Openfolio has quickly grown into a community of more than 25,000 investors, all drawn to the idea of seeing what various members are investing in and comparing portfolios to measure how they are doing.

You're a financial advisor, not a doctor, but if you're advising older clients, you need to be able to spot cognitive declines.

"LPL's supervisory breakdowns resulted from a sustained failure to devote sufficient resources to compliance programs integral to numerous aspects of its business," said Brad Bennett, FINRA's executive vice president and enforcement chief.

Two advisors that produced $2.15 million in annual revenue joined Raymond James Financial Services, the firm's independent broker-dealer.

Default rates are far higher for corporates than for munis with the same ratings, a discrepancy regulators are hoping to address with a rule that takes effect June 15.

Having gained SEC approval in November to offer this new class of investment product, the firm's biggest challenge now, observers say, is selling the concept of exchange-traded managed funds.

William Stromberg, 55, is a 28-year veteran of the company. He previously served as a money manager and has held a series of executive jobs at the firm overseeing equities.

If managers who invest in their funds tend to outperform their peers, which ones are the best? Ranked by their respective funds' five-year performance, here are the top managers with $1 million of their own money invested in their funds.

M&A deals pit rapacious firm founders against undervalued junior associates, reducing planners to "idiots" and "pubescent teenagers," new report says.

Cognitive and health issues can make meeting with older clients more difficult. Here are some tips to help advisors break down communication barriers.

The head of UBS' Client Advisory Group Bob Mulholland is set to retire, and will be replaced by fellow executive Brian Hull according to an internal UBS memo.

Two other groups that managed more than $300 million also move to the wirehouse.

Wells Fargo was sued by Los Angeles for allegedly opening accounts and issuing credit cards without customers’ authorization as part of what the city called a “fee-generating machine.”

A strong dollar and difficulties finding value have pushed advisors to look overseas.

New hires join the firm's employee and independent channels.

Investors may consider leaving their 401(k) retirement plans if their employer doesn't match the contribution they make; Plus, five money-making ideas to boost clients' retirement funds.

Richard Ohrn, a former broker with Chase and Wells Fargo in Boca Raton, Fla., was banned last week, 12 days after staging his disappearance at sea.

Cognitive and health issues can make meeting with older clients more difficult. Here are some tips to help advisors break down communication barriers.

Profits fell 1% at the wirehouse's Americas wealth management unit this past quarter, as advisor headcount continued to slide.