Financial planning

The advisor groups advocating for SEC vs. FINRA oversight of the RIA sector are turning their lobbying efforts away from the House.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

The focus on dual registrants grows out of concern that the different compensation structures of the two business lines can create conflicts of interest and potentially harm investors, according to an SEC director.

Your wealthy client wants to sell his or her business. What can you do to help plan properly for this major liquidity event?

While many HNW individuals can count on a fairly steady income from an ongoing business or a successful professional practice, entertainers and athletes can have highly variable incomes. Here’s how advisors can help.

While many HNW individuals can count on a fairly steady income from an ongoing business or a successful professional practice, entertainers and athletes can have highly variable incomes. Here’s how advisors can help.

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Wealth management firms are offering big compensation packages this year to push their advisors to sell more and sell up. Here are the best comp plans if you are a $600K producer.

'The average deal was a $1 billion or more RIA buying a mid- or smaller-size firm, a classic tuck-in,' says Jonathan Beatty of Schwab Advisor Services.

HNW clients face steep income and estate tax in some states, so a legal move to tax-friendlier territory can pay off.

"We're seeing more inquiries like this," says Dynasty president and CEO Shirl Penney. "As the opportunity presents itself, we think more teams will see the advantage of joining to achieve scale, size and get more bang for their buck."

HNW clients face steep income and estate tax in some states, so a legal move to tax-friendlier territory can pay off.

“Executives today don’t want a higher position so much as a broader position," says Kathy Freeman. "They want to be stretched and challenged, and they want an opportunity to grow."

AdvisorGroup announced Monday that Rick Fergesen has been named as president and CEO of one of its four independent broker-dealers.

Prenups can help HNW clients and heirs in case of divorce or death, but advisors must avoid offending these spouses-to-be.

Driven by a continued steep decline in refundings, long-term municipal bond issuance remained paltry, with the lowest February volume since 2000.

Wealth management firms are offering big compensation packages this year to push their advisors to sell more and sell up. Here are the best comp plans if you are $1M producer.

Prenups can help HNW clients and heirs in case of divorce or death, but advisors must avoid offending these spouses-to-be.

The number of investment products focused on environmental, social and governance factors has risen steadily in the last seven years