Financial planning

Several factors should be weighed when clients are deciding whether they should defer taxes on their investments.

Naureen Hassan, who oversaw Charles Schwab's Intelligent Portfolios Service, will lead Morgan Stanley's strategy for digital tools and platforms.

To understand the direction of digital advice, look to the industry experiences of the mid-90's and the early 2000s, says Mitchell Caplan, CEO of Jefferson National.

Roll-up also adds $50M AUM Harvest Group Financial Services.

If advisors answer these 4 questions correctly, they’ll be in good shape to start an independent firm, says Fidelity’s Bob Oros.

The U.S. has more than 1 million households with $5 million or more in investable assets – Are they near you?

Regulator’s surveillance director says watchdog would review broker-dealers who implement automated advice, to determine if they properly assessed client risk tolerance.

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.