Financial planning

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.

Until someone discovers the fountain of youth, one fact of life is unavoidable: We will all get older. And along the way, it is inevitable that many of us will need health care to help us rehabilitate, recover, or just have a good quality of life. In fact, experts say 70% of everyone who reaches 65 will need some type of long-term care during their lifetimes.

When plans for an external sale faltered, Quest Capital Management looked closer to home and found a better solution. Here's what the partners learned.

Just a day after a top SEC official hinted at discord within the commission about an expansion of fiduciary rules to include brokers, a voting member of the agency spoke out in opposition to the proposal, at least until supporters can build a stronger case.

Rule changes mean the AMT is here to stay, but that could actually be good news for some clients. Just keep them out of the 'bump zone.'

It is more important to rebalance in order to maintain a consistent asset allocation than it is to choose the right allocation in the first place.

After making recent waves with retail acquisitions, Nicholas Schorsch's RCS Capital Holdings is adding its first wholesaling broker-dealer to a growing portfolio.

It is more important to rebalance in order to maintain a consistent asset allocation than it is to choose the right allocation in the first place.

The contentious issue of harmonizing fiduciary responsibilities remains high on the agency's to-do list, though a timeframe for when a proposal might materialize is far from certain.

Here's a snapshot of the best ideas to come out of this year's conference.

What’s Really Behind the Proprietary Criteria for Indexes?

In seeking the helping hand of clients in finding new business, avoid being systematic or aggressive. Instead, make gentle, routine requests for help.