Economy

Bill Hamm’s Independent Financial Partners has grown more than fivefold in 10 years with the No. 1 IBD.

Advisors should conduct a comprehensive suitability analysis before initiating 1035 exchanges.

Like other broker-dealers, the firm is far from achieving a ratio of 50/50 men-and-women planners.

The firm was defined by a culture of “no, no, no,” a top headhunter says as part of On Wall Street’s annual recruiters roundtable.

The $263 million practice’s new IBD reported record recruiting for 2017, helped in part by the movement of advisors following LPL’s massive acquisition.

When your client is a foreign national, it pays to find out if the same regulations apply.

More assets — and teams — are in motion than ever. What's behind the movement?

Sweeping tax changes have made it more important than ever to understand what is, and isn’t, deductible.

A recent report about bad incentives for brokers "did not accurately reflect how we do business and serve our clients," said Jon Weiss, head of wealth and investment management.

Instead of thinking about fiduciary purely as an obligation or regulation, advisors should envision it as something much bigger: a way of life.

The Justice Department disclosed a felony probe the day before the broker’s termination.

Clients were allegedly steered into investments maximizing revenue for the bank and employees.

The claims come after internal struggles at the chapter left the boardroom “untenable,” the association says.

Many of the trades should have triggered market manipulation concerns because they involved companies that were barely operating but engaging heavily in promotional activity, the SEC says.

The new hires say they were drawn to the firm’s investment platform, product offerings and investment diversification.

The Advisor Group IBD added three new teams, but state regulators required enhanced oversight of one new recruit.

Home values grew in all 50 states in February, but their appreciation is expected to slow within the next year, according to CoreLogic.

The bank is said to have been aware of the accusations for years.

Bill Capuzzi has had a first-hand view of wealth management’s disruption. He details the key innovations winners will bring to the industry.