-
Getting to intimately know the business and culture of CapGroup Advisors was key to this week's merger, says Michael Nathanson, chairman and chief executive of Colony Group.
March 6 -
Don't emphasize the money they'll make or the firm's reputation. Focus instead on work-life balance.
March 6 -
"I live in fear, quite honestly, of FINRA assuming the responsibility of examining investment advisors," a former SEC attorney told advisors at the Investment Adviser Association regulatory and compliance conference.
March 5 -
Advisors who can bring in and work with clients, wealth strategists with tax and accounting expertise and successor CEOs are in greatest demand.
March 5 -
Plus, a tax-free trick many ordinary Americans don't know about, best strategies for a tax-free income, and how a tax-savings strategy on property capital gains is re-emerging.
March 5 -
The move highlights a broader shift in the way large regional banks are running their wealth management businesses.
March 5 -
The emerging affluent may end up with more assets than their older (and wealthier) counterparts.
March 5 -
The 101 most popular funds for retirement savings; the importance of rebalancing portfolios to avoid moving stocks in bear markets; and how investors can put money into annuities and IRAs when a 401(K) isn't enough.
March 5 -
The challenges women face -- earning less and living longer on average than their male counterparts -- greatly affect how they invest and what they're looking for in a planner.
March 5
FMG Suite -
The firm agreed to pay $225,000 for failing to adequately supervise its registered representatives, one of whom allegedly bilked elderly clients of over $300,000.
March 5
-
The IRS is continuing its enforcement push against refund fraud and identity theft, and today announced the top ten identity theft prosecutions for fiscal year 2014.
March 5 -
Your affluent clients may think they can just write a check to cover college costs. They're probably wrong. Here are a few issues that parents (and grandparents) should consider.
March 4 -
Also, Raymond James added two $2.6 million producers advisors who last worked at RBC. However, Raymond James wasnt the only winner. See these and all the latest advisor moves in our latest recruiting roundup.
March 4
-
Advisors Patti Brennan and Judy Rubin offered tips on communicating value to new clients.
March 4 -
Despite a push for tighter rules to curb loan and withdrawal leakage, experts say small loans from 401(K)s aren't a drain on savings; Plus why millennials need to start saving for retirement now.
March 4 -
Advisors must do a better job nurturing new women advisors and engaging female clients. Even so, AIG Advisor Group CEO Erica McGinnis has high hopes for women in the industry moving forward.
March 4 -
Veris Wealth Partners, an RIA specializing in sustainable investing, recruited the advisor, who was managing $500 million as a portfolio manager.
March 4
-
CFO moves up as departing exec heads to asset management shop.
March 3 -
The Internal Revenue Services Large Business & International division has opened a gateway that financial institutions and the tax authorities abroad can use to send information on financial accounts held by U.S. taxpayers in accordance with the Foreign Account Tax Compliance Act.
March 3 -
The Internal Revenue Service is auditing the taxes of fewer businesses as a result of budget cuts in recent years.
March 3
