Practice and client management

With brokerages, consolidation, lawsuits and more, independence ain't what it used to be. Advisors who want to break away must contend with ever-changing options and obstacles to define their own version of independence.

Simple, doable steps performed by in-house staff can begin a financial services firm's data security odyssey.

For more than half of U.S. households, retirement isn't a finish line. It's just a different phase of the marathon.

The Section 121 exclusion and the step-up in basis are well known to financial advisors and tax professionals, but their clients will need to plan carefully to net the biggest potential savings.

The likely more than $1 million award is the latest result from cases arguing that firms' pay policies run afoul of federal retirement law.

Brokerages have until June 26 to decide if they want to take part in a pilot program allowing them to continue inspecting their branch office remotely; plus, the rundown on residential supervisory locations

Firms like Morningstar and Morgan Stanley that recently rebooted their chatbots with AI models are finding it's transforming how clients and advisors engage chatbots. Is the industry missing an opportunity for growth with their chatbots?

Prospective affluent clients told Cerulli they exhibit common forms of distraction from an objective view of investing. Here's how wealth managers can help.

The regulatory consultant Hearsay Systems found that financial professionals have increased their production of online videos by nearly threefold. That doesn't mean the message is getting through to the intended audience.

Firms' aggressive pursuit of repayment of recruiting loans is likely a reflection of how massive some recruiting deals have become in recent years.

Qualified small business stock carries major potential savings for startup founders and investors, but the benefits come with some important caveats to keep in mind.

Financial planners can help clients navigate homeownership and other significant purchases in the wake of the Fed's revised rate-cut projections.

Accounting needs to evolve in order to face a new reality.

Nervous investors often ask how the presidential election will affect their portfolios. New research offers a simple way to reassure them: Look at the numbers.

Available technology solutions could boost professionals' efficiency in serving their clients — but only if financial advisors and their customers are open to them.

As incoming president of Raymond James & Associates, Tom Walrond will seek to build on his firm's reputation for stability and advisor choice.

The financial industry regulator contends firms are unnecessarily sounding the alarm that new policies will require going into the office five days a week.

Barriers keep CPAs, attorneys, financial advisors and brokers from communicating effectively for their client's benefit — and the benefits of collaboration are significant.

They have oft-cited tax advantages, but the available research raises alarms about fees, interest rates and investing in assets other than cash.

The partners at Pilot Financial have been through only one acquisition in their firm's history — the recent sale of Lincoln Financial's wealth groups to Osaic — and they're not eager to repeat the experience.