Practice management

Financial reform will lead to a new emphasis on credentials in the financial services industry, which puts the Investment Management Consultants Association in a good position, says IMCA Executive Director and Chief Executive Sean Walters.

Online and mobile social connectivity is now fully integrated into the modern way of life for your clients. If it is important to clients, it should be important to advisors, says Mike Langford, senior social business strategist at Socialware.

Two British twins in their teens bilked $3 million from American investors and stock promoters with tales of using a sophisticated bot to pick stocks, according to the U.S. Securities and Exchange Commission.

Advisors feel that social media is a "wise use" of asset managers' time and resources and just over one-third believe asset management firms are "not yet seeing the value" of social media.

LPL’s board of directors has been putting a lot of trust lately in some of chairman and CEO Mark Casady’s longest-serving, highest-flying lieutenants.

Despite the easy passage of Rep. Eric Cantor’s Small Business Tax Relief bill, H.R. 9, in the House of Representatives, RIA firms aren’t likely to be counting on any tax savings at this point.

The Atlanta-based company unveiled a new branding service for advisors.

The SEC now charges that a Chicago securities dealer whose chief financial officer was a one-time chief financial officer of optionsXpress continued to trade as a customer account under optionsXpress’s auspices, after delisting itself from the only market of which it was a member, the Chicago Board Options Exchange.

Nearly four-in-10 (38%) retiree households say they don’t have enough income to cover their monthly expenses. What can retirees and pre-retirees do to improve their monthly retirement income?

LPL's New Venture will be structured to support advisors who could run the gamut from college graduates to career changers.

The new firm brings together the existing businesses of Saltzman Associates, Bielan Consulting and Ken Kehrer’s research and consulting expertise.

At a time when many advisors are cautiously stepping into the social media scene, Fidelity Charitable has launched a LinkedIn group called The Giving Strategies Network which aims to help planners coordinate philanthropic planning.

New regulatory rules could lift or weigh down the wealth management industry as it works to mend its relationship with consumers following the financial crisis, according to executives speaking at the SIFMA Private Client Conference.

Legacy expert attorneys Danielle and Andy Mayoras say the legal battle between two feuding CEOs provides yet another example of why it’s so important for advisors to make prudent succession planning decisions as their firms grow and evolve.

Genworth Financial this week debuted a free, web-based mobile app that lets investors and advisors calculate their expected long-term care expenses from their iPhones or iPads and, simultaneously, get down to the business of adjusting their long-term financial planning goals to meet these rising costs as they age.

The Vanguard Group was recognized as the most effective full service investment advice brand online by Heardable, a firm which measures corporate online performance.

J.P. Morgan has been on a two-year push to set itself apart by developing a trading system that works with almost any execution management system on any asset. But it only matches orders that matter.

Non-bank financial companies, including mutual fund operators, should get ready to find out whether they will be designated a "systemically important financial institution," aka, SIFI, now that the Financial Stability Oversight Council released final rules on April 3, according to Federal Reserve Chairman Ben Bernanke.

The SEC charged four executives of what is now a Charles Schwab Corp. subsidiary as well as one customer with selling billions of dollars worth of securities they could not deliver.

After a long, winding legal road, involving no fewer than six federal court decisions, Ameriprise Financial finally won a suit alleging that it had charged excessively high advisor fees.