Financial planning

Two issues that advisors have been closely watching are near the top of the commission’s list; namely, efforts to expand oversight of RIAs and enacting stabilizing reforms for money market funds.

Narrow investment strategies and narrow fund categories tend to result in worse results for investors.

If you have clients with diminishing mental faculties, you need to know how to protect yourself.

A new withdrawal strategy from J.P. Morgan takes real-life spending habits into account and suggests clients could spend more at the beginning of retirement.

Narrow investment strategies and narrow fund categories tend to result in worse results for investors.

Allison Couch's newly created role focuses on sales and distribution strategies across one of the industry's largest broker-dealer networks.

The fund association maintains the industry is already heavily regulated, and in the event of failure a single fund can exit the market in an orderly process with little disruption, unlike banks.

'We were not as proactive as we should have been,' the CFP Board says, rolling out two initiatives aimed at resolving advisors' incorrect fee-only disclosures on its website.

Advisors who host an event to lure the well-heeled often end up being disappointed. Here are six steps to do it right.

You know that nervous feeling clients can get when they are worried that money is about to run out? It is not just mass-affluent clients; high-net-worth individuals experience that same nervousness. If you are in the investment business field, there are ways to deal with worried wealthy individuals.

Millennials represent $1.5 trillion in purchasing power and they want things the way they want them—if you want their business, you have to change, not them.

Every firm needs to determine the unique compensation plan that will work best for executives, staff and clients. These guidelines should help you get started.

The new unit will offer financial planning utilizing various wrap account strategies.

Most of the new arrivals are employees of larger financial service companies, said president Scott Curtis, and about 25% are already independents.

In its zeal for products and performance, the fund industry is not delivering what today’s advisors need.

Holding down clients' investment income can reduce exposure to the 3.8% surtax imposed on high-income taxpayers.

FINRA CEO Richard Ketchum praised one SEC commissioner for floating a new proposal to beef up examinations of the RIA industry independently of Congress.

Helping clients develop a game plan offers several advantages, says Raymond James' Paula Feinberg at Women Advisors Forum in Dallas.

Holding down clients' investment income can reduce exposure to the 3.8% surtax imposed on high-income taxpayers.

The 'very, very conservative' company is looking for niche deals, not major acquisitions, said CEO Paul Reilly.