Financial planning

While the market is beyond anybody's control, clients can take steps to mitigate the impact of volatility on their portfolios; Plus, the biggest reason workers don't save enough for retirement.

Commission marks 75th anniversary of Investment Advisers Act, but says there is much work still to do to fully protect investors.

Lee Dana Weiss and his firm Family Endowment Partners face numerous cases from clients as well.

Which banks are advisors moving to? Twelve recently switched to Associated Bank, Bank of the West, BNY Mellon, U.S. Bank and Webster Bank.

Nearly half of respondents to a survey said they were “very or somewhat knowledgeable,” but failed to adequately answer questions about the rules; Plus, 3 reason to rethink your retirement.

Advisors’ usage of social media includes platforms like Pinterest, where they showcase lifestyle-oriented content to their clients and potential clients.

The market has seen 200 ETF launches this year, more than ever before, Bloomberg reports. But only 20 new funds have managed to gather at least $50 million in assets.

There are three types of advisors when it comes to embracing technology, says the advisor organization: early adopters, those who will follow peer success, and those who wait until the last minute.

UBS agreed to pay $34 million to settle charges by the SEC and FINRA that it failed to supervise a former broker who had customers invest in UBS-affiliated mutual funds using money borrowed from an affiliated bank.

The team left the wirehouse to form their own independent firm, representing one of the largest groups that Dynasty has helped go independent.

Elder care expert cautions that advisors must put a formal plan in place to help protect clients if they start to lose their faculties.

Only about one-third of CFPs say their clients are even somewhat knowledgeable about claiming Social Security benefits, according to a new join study from the FPA and AARP.

Merger of two LPL practices seeks to expand a new niche; banks seek non-interest, fee-based income from independent planners.

The assets that clients used intensively when first purchased (like a large house) come to have excess capacity over time; Plus, two big reasons clients need more savings.

Exclusive: CEO Adam Nash says his firm has no plans to diversify into a business-to-business model.

It's not about social media, it's about being visible when the prospective client has a goal or a need you can help with, says author David Meerman Scott.

As the CFP Board wrestles with shifting demographics, its latest research indicates that investors expect their advisors to put their interests first, but the majority believe they don't.

The association's board of directors chose a new president-elect, as well as three new board members. The changes come as the association generally supports the Labor Dept.'s proposed fiduciary rule, but with certain changes.

These program managers are ranked most consistently among the best of the best.

An advisor terminated from Merrill Lynch for "inappropriate workplace behavior," and who once managed $5 billion in client assets, has found a new job with Wells Fargo Advisors. But the firm wasn’t the only winner last month in the competition for top talent. See this move and more in our latest recruiting roundup.