Financial planning

Compliance experts are recommending that firms take a flexible, risk-based approach as they respond to the SEC's red flag rules, a new set of regulations for protecting clients against identity theft.

Advisors will be expected to keep records about the content they post on social sites just as they do with other materials on traditional channels, according to a senior commission attorney.

The planning network hooks up with Guide Financial to offer cash-flow software to clients.

The once fast-growing firm leaves LPL after a year and a half, hoping NFP's deep pockets will help it attract other advisors.

From why FINRA's BrokerCheck service for investors is facing criticism on multiple fronts to why top advisors want equity and career growth, here are the most notable quotes from the past week's stories.

Including the next generation in a family's charitable activities helps advisors build a relationship.

To protect clients, make sure you understand the difference between regular dividend increases and "extra" or "special" dividends.

Raymond James has gone on a recruiting spree, poaching million-dollar producers from all four wirehouse firms. But they're not the only ones signing up new talent. Here are the most recent advisor moves.

Advisors and their HNW clients too often shy away from difficult conversations about inheritance planning. Here are some ideas for advisors to help start the dialogue.

The asset management industry has stepped up marketing efforts aimed at advisors, hoping to boost both sales and credibility.

For wealthy and high-profile clients, privacy can be hard to attain. But most people don't want their personal lives made public, especially when they are going through a divorce. Here's how planners can help.

Financial advisors who use active management may have a lower-cost option when considering actively managed ETFs – but some advisors express doubts on the real value for clients.

SEC examiners frequently cite firms for insufficient disclosures, an SEC official says. Here are some of the most common conflicts that advisors fail to disclose adequately to their clients.

Hiring the wrong person can seriously damage your firm. Here’s what to avoid.

Cybersecurity is an area of growing SEC concern and examiners will increasingly be expecting RIAs of all sizes to have in place more robust policies and procedures to deal with the growing threats to their information systems.

The firm grabbed a team with $2.5 million in production for its independent broker-dealer channel.

Portability shelters up to $10.68 million from transfer taxes for couples in 2014, but HNW clients can benefit from additional tactics.

Advisors and clients are gravitating toward the RIA model -- a trend that experts expect to continue.

For wealthy and high-profile clients, privacy can be hard to attain. But most people don't want their personal lives made public, especially when they are going through a divorce. Here's how planners can help.

Portability shelters up to $10.68 million from transfer taxes for couples in 2014, but HNW clients can benefit from additional tactics.