Subject Root Tag

Truly effective managers help propel their advisors to higher levels of success—here’s how.

Clients often confuse risk with uncertainty -- and other insights from author Stephen Dubner.

Customers don’t see much of a difference in the financial firms they deal with—even those that are considered the best.

Lattice Strategies founder, Theodore Lucas, and Darek Wojnar, head of single-asset strategies at Lattice, discuss the separately-managed account provider's first ETF offerings and investment focus on risk.

We've restructured our planning sessions so that our advisors team up with a second CFP to deliver more robust advice. Here are three ways the approach pays off.

Many financial professionals are accepting the idea that they likely won't beat the market and that investors therefore would be better off in low-cost index funds.

The wife of Home Shopping Network co-founder Roy Speer is seeking upwards of $170 million in damages for excessive trading and breach of fiduciary duty in a case pending before FINRA.

Instead of shifting all their assets to bonds and other safe investments, retired clients should keep some in high-quality dividend stocks; Also, clients should be self-centered when planning for retirement.

An alternate to the Sharpe ratio could help advisors calculate how much pain investors must endure for each unit of gain. Here's how to run the numbers.

The U.S. Senator says she is, "concerned that these incentives present a conflict of interest for agents and financial advisors."

Adopting the skills of an anthropologist can empower advisors to help wealthy clients mend troubled family relations before it's too late.

"The bar of expectations among advisors has been raised by their experience with a best-in-class website," says the author of a new report in which advisors ranked fund managers.

David Paul Santos, a broker with Pioneer Bank in Troy, N.Y., was tricked by a hacker into wiring funds he shouldn't have—and ended up paying the price.

Digital upstarts are out to steal traditional banks' customers by taking the hassle out of everything from account opening to borrowing. It’s tough to compete with banks' resources and brand recognition, but these new mobile competitors are adamant that they can win on customer experience.

ETFs that hold U.S. Treasuries are seeing more cash inflows this month than any other fixed-income funds for the first time this year.

For advisors to really help their clients, they need to get them to truly understand investing odds and focus on process rather than outcomes, IMCA attendees were told.

Mom-and-pop investors may sink $350 billion into debt funds globally this year, adding to the $3 trillion they've already poured into bonds since 2008.

The SEC is investigating whether the bank's Merrill Lynch unit broke rules designed to safeguard customer accounts, according to the Wall Street Journal.

Understanding generational differences plays a critical role in your ability to win new clients, from making initial contact to sealing the deal.

After several annual losses and FINRA fines, call center magnate John Sykes to sell JHS Capital to the country's second-largest IBD.