Financial planning

Some mortgage investors are refusing to buy home loans that are at risk of violations of new consumer-disclosure rules.

Wealth management is becoming a tale of tech haves and have nots. Don’t be left behind.

The SEC says an advisor with Wells Fargo's FiNet used client funds to help inflate the price of several stocks.

People turning 55 next year will be considered senior citizens and can take advantage of penalty-free distributions from retirement savings plans as long as they meet certain requirements; Plus, how to plan your clients' retirement income to avoid taxes.

When advisors are uncertain where to begin, colleagues and even relatives can help.

Worries about an immediate downdraft in the credit markets following an increase were unfounded, one advisor notes, emphasizing his call to focus on long-term planning.

The fast-growing financial firm acquired an RIA and pulled over a wirehouse team.

Even when holiday lights and light sabers are grabbing for your attention, these tips can help you gain more control of your practice, work smarter and succeed sooner.

More than two dozen teams managing $1 billion or more in client assets switched firms this year. See where they landed.

Winning over robo advisors doesn’t automatically mean cutting fees. Keep an eye on profit margins, however.

Clients who want to consult after retirement should first tell hiring managers at their own companies that they will be available for such a work arrangement; Plus, when retired clients should consider renting.

An online presence can help build an advisory firm but can hurt a reputation if overused.

Undaunted by the failure of a rider to the federal budget bill, the new legislative initiatives will try to once again strangle the Labor Department fiduciary proposal.

Advisory firms must be ready to deal with commonplace snafus as well as major disruptions.

Since its launch two years ago, Harvest Exchange has signed up 200,000 investors, nearly 25,000 advisors and over 7,000 investment firms.

The fraudster swindled nine Fidelity customers out of more than $1 million over a seven-year period.

Higher interest rates will be a welcome relief for retirees who live on income from bonds, CDs and money market funds; Plus, clients should not assume their former employers will manage their 401(k) assets after they resign.

Four scenarios are possible. Here’s the most likely.

Contributions to donor-advised funds before year's end can help clients who need to claim bigger deductions to reduce their tax bills. Plus, tax-savings opportunities clients may want to grab before they're gone for good.

The new recruits moved over to the independent side of the wirehouse.