Client communications

The departures mean my practice is losing thousands of dollars in revenue — for now.

Do stock market swings mean new opportunities for financial planners?

"Put people before profits and focus on service above self," says Kimberly Foss, founder of Empyrion Wealth Management.

At this stage it's not an actual data breach, but it could become one.

Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.

The firm's most recent lawsuit over alleged non-solicitation violations centered on an advisor's thank-you cards to clients.

After the divorce, I was broke and in debt. Then my husband sued me.

The specter of lost trillions in the coming asset transfer is causing wealth managers adapt their strategies to serve mercurial millennials.

At least two clients said they received calls from the advisor where he discussed his departure from the firm, according to the complaint.

Though designed to raise standards for broker-dealers, the SEC’s 564-page rule sent ripples throughout the advisory industry.

Advisors and their firms should be prepared for how they will respond to expanded fiduciary responsibilities under new standards.

The Labor Department is poised to release a rule that would make it easier for small businesses to establish a multi-employer 401(k) plan for their workers.

Borrowing against a 401(k) plan or taking an IRA withdrawal can work under the right circumstances.

More than half of RIAs aren't recruiting from other firms. This may be why.

A new offering from the firm aims to allow retail clients the ability to check their portfolios or receive a quote on a security via voice command.

Advisors say they’re allocating assets based on client objectives, but they likely are not, according to SEI’s survey.

Prospects are further aggravated by the disappearance of pension plans and the financial woes facing Social Security.

Financial firms are grappling with what — and how — to tell consumers about the use of their private information.

Over the last four decades, the average income of retiree households significantly outpaced those still in the workforce.

Taking a page from robo advisors, firms must prioritize an intuitive technology experience for clients.