Subject Root Tag

Affluent and millionaire investor confidence rose in October, according to research from Spectrem Group. Meanwhile, millionaire investors see mostly advantages to working with advisors.

Former SEC chairman Arthur Levitt called the lack of an adequate backup plan a “body blow” to the reputation of the New York Stock Exchange. NYSE Euronext called his comments “appallingly and irresponsibly wrong.”

Morgan Stanley Wealth Management vice chairman Paul Hatch has said publicly that these reps-as-portfolio-manager programs are "a permanent change."

In a continued push to reform regulation for advisors, five independent financial firms have joined the Financial Services Institute.

Wall Street turned to Bordeaux, sushi and faxes as Hurricane Sandy wreaked the most havoc in the history of the city’s transit system and closed stock markets on consecutive days for the first time for weather since 1888.

In any kind of “normal” flood, water would never reach 80 Pine St., a 39-story tower two blocks inland from the lower Manhattan waterfront, landlord William Rudin said. Last night, his Rudin Management Co. was pumping out the basement, and he was grateful the building manager and engineer weren’t seriously hurt when water poured in as they were shutting down steam lines and checking equipment.

Hurricane Sandy kicked up total estimated inflows to long-term mutual funds to $5.45 billion for the week ended Wednesday, October 24, according to the Investment Company Institute.

Why are there so few women at the top ranks of large banks? One factor: they lose hope. That needs to change, editor-at-large Barbara Rehm says.

Forget about fake scares: Advisor spends Halloween holed up at "secret" church to recharge laptop and reach out to clients.

The registered investment advisor is becoming a portfolio manager, more than an advisor.

In real estate, the three keys are location, location and location. But in the case of Charles Schwab's latest ETF Investor Snapshot, the keys are real estate and more real estate.

If your goal is to win new clients and influence bank trust officers, then you have to learn how to talk the talk-first lesson, be sincere.

The high-tech clients of financial advisor Laura Pedroncelli, of First Tech Federal Credit Union in Sonoma, Calif., are focused on their careers and willing to outsource their investments-and as a group, they're not very tolerant of risk.

While community bankers mostly agree that stronger restrictions on a bank's ability to expand into complex activities are necessary, the details are a matter of some debate.

As Invest Financial Corp. marks its 30th anniversary, some of its veteran representatives remember the early days and discuss how far the industry has come over the years.

The financial advisor industry is facing a looming crisis. Advisors are getting older, and there aren't enough talented young people entering the field to take the reins as these older advisors retire.

This month's story on retirement is applicable to all our readers. We focused on mass-affluent investors, which, for this story, we viewed as those with decent jobs, and some money, but not enough to be truly confident of a comfortable retirement.

We all know the stats — 10,000 people a day will retire for the next 20 years. And guess what? Most of them aren't rich. Many fall into the "mass-affluent" category, which means they have some money, but they can't afford to make any mistakes. And many of them have very little time left. What can you do?

Your clients may not fully understand their motivations—but as an advisor, you need to delve further into their psyches.

Advisors have to walk a tightrope when retired clients show signs of dementia. How do you follow your clients' wishes and also do what's best for them when those two things begin to diverge?