Practice management

Changes in the makeup of wealth will push the industry to work with more female clients — even if it isn't ready to do so, financial advisors and executives said.

Edward Jones is also lowering its fees on certain asset ranges and seeing faster-than-expected adoption of the MoneyGuide investing systems.

Three executives shared best practices around compensation in the fight to recruit, retain and support planners and other key employees.

The accounts are expected to grow by another trillion dollars over the next decade because of their tax and flexibility advantages, Daffy CEO Adam Nash said.

New Hispanic Market Certification Program launches this week to begin Hispanic Heritage Month.

Some 4,200 attendees have converged on Southern California for the third year of Ritholtz Wealth Management's annual outdoor "wealth festival."

A FINRA settlement accuses the firm of failing to supervise a broker who recommended frequent purchases and then resales of various investment products.

Former NFL star and UBS Head of Sports and Entertainment Adewale Ogunleye said professional athletes tend to prefer female advisors for whom "male ego" does not get in the way.

The "reverse churning" case highlights the regulatory gap investors can fall into when moving between brokerage and advisory relationships.

Advisors can guide clients on taxes, financing, buying versus leasing and how to boost their negotiating power.

The first rule of staying on the right side of the SEC's updated marketing rule: Involve compliance early and often.

Erin Reddick, founder of ChatBlackGPT, said advisors can use AI to make their firms more inclusive and diversify and grow their client base.

Within days of a colleague's retirement and having been introduced as their new advisor, Corbin Hoffner left for Raymond James.

It's key for an advisor to have a firm grasp of clients' long-term goals, how much they are spending now and how much they plan to spend in the future.

Tech-savvy firms have found it useful for tasks including marketing, note-taking, summaries, transcriptions, follow-ups and modeling.

Expertly guiding a client through the divorce process can forge long-term bonds that foster practice growth.

RIAs including Abacus Planning Group, Beta Wealth Group, Integrated Advisors Network were accused of violations ranging from making unsubstantiated statements to claiming membership in nonexistent organizations.

Lawyers allege the 92-year-old victim's daughter begged Schwab to freeze her mother's account, but to no avail.

The handoff of a company carries important tax implications alongside a plethora of succession challenges. Here's what financial advisors need to talk about with clients.

This fringe benefit can take the weight off of the company's human resources department, allow employees to experience the benefits of financial planning and even allow advisors to prospect for new clients.