Corporate governance

Too many advisers have damaging misconceptions about how to get influential people to send clients their way.

News that LPL may be looking for suitors comes at a time of financial pressure for the country's largest independent broker-dealer.

Solo practitioners can gain backup, business continuity, flexibility and expanded offerings — as long as they decide it’s worth the time and cost.

Putting a disaster plan into effect to protect a practice and a home in Florida.

Adviser Rick Woolfolk, who is also a Civil Air Patrol representative for the U.S. Air Force, offers survival tips for firms. Woolfolk’s practice is located in Texas' Tornado Alley region.

From teaching disaster prep classes before, to holding hands after, advisers’ best practices for catastrophes.

See which independent broker-dealers are beating their larger competitors in attracting new client assets.

Stephen Stabile makes an argument for this planning approach, and others in the industry agree.

Merrill Lynch's Stephen Stabile and others are using behavioral finance tools to make better plans for clients.

These certificants are multiplying — and so is their revenue.