Financial planning

If mutual funds in 401(k) plans underperform yet charge hefty fees, participants can take action; Plus, President Obama plans to push new rules making it easier for small businesses to offer 401(k) plans.

Which banks are advisors moving to? Seven recently switched to BNY Mellon, U.S. Bank and Wilmington Trust.

Advisors can provide valuable services when clients go through the process—and still get paid.

It’s not just about making money. Advisors do a big service when they help their clients use their money to improve their lives.

Former Merrill Lynch advisors launch a new office with IHT Wealth Management.

To protect themselves from the industry self-regulator's scrutiny of these products, firms should take these actions.

The Shanghai Index slid more than 6% after outflows from China reached a record $1 trillion last year, more than seven times that of 2014.

It’s challenging to afford tech upgrades and meet compliance demands at the same time. Here’s how firms are doing the best of both.

Lightyear Chief Executive Donald Marron is getting a second chance to purchase the insurer's broker-dealer arm.

Even those clients who have amassed substantial savings or have pensions are not ready to leave the work force if they have no health care plans; Plus, talk to clients about these retirement myths.

Even as independent advisors rush to comply with new laws, they are also being urged to implement innovative digital tools. Here’s how successful firms are managing to do both—cost effectively.

Joel Bruckenstein puts two applications – RIAglass and MyRIACompliance – through their paces. Can they help advisors comply with regulations?

The CEOs of Goldman Sachs and Morgan Stanley are getting smaller pay days after shares for both of their firms undperperformed.

Municipal demand and prices are up so far this year, buoyed by market technicals, according to Jeffrey Lipton, head of municipal research and strategy at Oppenheimer.

New to our 5th annual list of the largest independent planners, these RIAs are blazing ahead with new ideas and poised for growth.

Retirement savers are advised to avoid an overly conservative approach when creating asset allocations in their portfolios and to differentiate risk tolerance from risk capacity; Plus, new rules for reverse mortgages.

After only two months in the role, Roth is being replaced by a restructuring specialist. RCS recently said it would file for bankruptcy.

Millennials with college loans may want to hold off on getting married to save on their taxes. Plus, tax savings for affluent families, and five smart tax moves your client can make in 2016.

Contributed articles and social media posts on specific ideas can separate planners from the rest of the pack.

Retirees are now allowed to make charitable donations by transferring money directly to a qualified nonprofit organization from their IRAs; Plus, why inheriting a Roth IRA isn't always the best news.