Financial planning

An alternate to the Sharpe ratio could help advisors calculate how much pain investors must endure for each unit of gain. Here's how to run the numbers.

The U.S. Senator says she is, "concerned that these incentives present a conflict of interest for agents and financial advisors."

Adopting the skills of an anthropologist can empower advisors to help wealthy clients mend troubled family relations before it's too late.

"The bar of expectations among advisors has been raised by their experience with a best-in-class website," says the author of a new report in which advisors ranked fund managers.

Digital upstarts are out to steal traditional banks' customers by taking the hassle out of everything from account opening to borrowing. It’s tough to compete with banks' resources and brand recognition, but these new mobile competitors are adamant that they can win on customer experience.

For advisors to really help their clients, they need to get them to truly understand investing odds and focus on process rather than outcomes, IMCA attendees were told.

Understanding generational differences plays a critical role in your ability to win new clients, from making initial contact to sealing the deal.

After several annual losses and FINRA fines, call center magnate John Sykes to sell JHS Capital to the country's second-largest IBD.

For clients who want retirement income with minimal equity risk, advisors should recognize the 'mortality credit' advantage that the pooled funds in an immediate annuity can offer.

The online certification program uses academic insights to help advisors identify common misguided decisions investors make.

A recent coaching seminar has me recalibrating my understanding of practice management. You may need to adjust yours, too.

The secret to building a profitable business is attracting, serving and retaining a set of high-value clients. Use these ideas to make that happen.

Missing the deadline for enrollment brings a penalty of 10% of the Part B premium for every year not enrolled--and in some cases, it's for life.

The commission alleges that the advisor and his associates defrauded investors by concealing key information about unpaid debts in two rounds of securities offerings in farm loan ventures.

Three advisors were stripped of their CFP designations, 13 were suspended and seven were publicly admonished for technical infractions.

By taking a "glass half-empty" approach on the fiduciary issue, regulators are doing investors and advisors a disservice.

Even if you think you're ready to find a successor, make sure you've taken these three steps to pull back and prepare for a sale.

Financial advisors of all stripes have to adapt to evolving technology and increasing competition from online brokerages and other investment firms. Automation tools can help.

An advisor's move to HighTower sheds light on an issue that bedevils those making the transition: Whether to risk losing partners -- and possibly clients.

Retirement investors could post attractive returns amid high interest rates with high quality intermediate-term bonds: Plus, top mutual funds for 401(k) retirement savings.