Financial planning

This group of elite young advisors not only has impressive T12 production, but also some of the industry's biggest books of business. Here's a new ranking of our Top 40 advisors by assets under management.

TPM firms last year helped their partner banks and credit unions generate $314.5 million in fee-based revenue. Which ones posted the most advisory business? Bank Investment Consultant ranks them here in ascending order.

These independent broker-dealers reported the highest portion of fee-based business.

Tips for investors on securing their IRA and 401(k) accounts; Plus, how saying 'no' can help ensure a smooth retirement.

Schwab must convince the 7,000 advisors who custody with the firm that its new Institutional Intelligent Portfolios automated investment management service is worth implementing.

Retirement planning is becoming a bigger priority as the oldest members this "401(k) Generation" turn 50, presenting an opportunity for advisors.

Compliance experts Brian Hamburger and Robert Molinari offer up best practices for preparing for SEC and FINRA audits.

The fiduciary rule proposed by the Labor Department this spring is taking up most of the spotlight.

Bad retirement advice forced a woman to take a job earning little more than minimum wage to make ends meet, her lawyer says.

Clients are advised to reconsider including target-date funds in their 401(k) plan; plus, why clients shouldn't convert all their IRA savings to Roths.

Financial fraud perpetrated against the elderly is on the rise, according to a new survey of CPA financial planners.

The new digital platform will cost 10 basis points for advisors who have less than $100 million in AUM under custody with Schwab, but advisors who have more under custody won't be charged a fee.

The commission ups its scrutiny of retirement-focused advisors and broker-dealers as elder fraud skyrockets, securities lawyer says.

Brian Ourand, former president of SFX Financial Advisory, stole $670,000 from clients, the SEC alleges; his former CCO and SFX agree to pay fines to the SEC.

Robert Arnott, CEO of Research Affiliates, says the financial services industry has to change its mindset toward innovation in order to remain competitive.

Harvesting data can ensure that accounts you manage are meeting their objectives and can offer marketing opportunities.

Don't despair, industry leaders say. Even wealthy and digitally minded millennials will still want personalized advice.

Two former National Planning Corporation brokers "are just normal dudes and they just screwed up," says a lawyer for one of the men.

Advisors have been curious about this relatively new fund category. Here are the ones attracting the most assets.

In order to ensure maximized value of their retirement benefits, clients must be aware of Social Security rules; Plus, why automated retirement contributions are helpful for clients who intend to develop a spending budget