Practice management

Lisa Quadrini had worked with the practice during her earlier tenure with Merrill Lynch, and she’s now launching its new office.

The quartet of advisors picked the nation’s largest IBD out of the increasing number of suitors available to ex-employee practices.

While it’s good that firms are addressing mental-health concerns, Marcus Ashworth writes that temporary fixes don't get to the nub of the culture problem.

After years of lagging other industries, financial services marketers are finally ramping up their digital investments. But this new spending must be aligned with smart strategies and urgency.

"Think of the ideal FA as having the head of a capitalist and the heart of a social worker," writes Ally Invest president Lule Demmissie.

Even salaries, which are typically seen as private, were up for conversation among those in the cohort, a survey found.

More than half of the broker-dealer’s clients say they’re interested in increasing the share of socially-responsible investments in their current portfolio.

The 37-year veteran advisor’s settlement with FINRA is the latest phase of a two-year saga involving a father-son team at an Indiana practice.

Could high-fashion collectibles be an asset class that lets advisors connect with millennial clients? Sneaker enthusiast Andrew Shilling thinks it’s possible.

How Signature Wealth CEO Chip Munn says he got an eight times return on his marketing investment in four months (without paying for ads).

After the Schwab-TD merger, rival firms are re-thinking the settlement process, testing new pricing models, and improving advisor efficiency and service. Is David sprinting past Goliath?

The change will affect continuing education immediately and certification examinations starting in March 2022.

The changes mark a new phase in the tug-of-war between the structures.

Keith Beverly, one of a handful of Black CFP-CFA holders, is pushing to mint more.

With clients showing signs of anxiety during the pandemic, Kimberly Foss writes, now is the time to remind them why they came to us in the first place.

In new academic research, experiments involving selections of YouTube videos shed light on the psychology of conflicts of interest.

Staffing and compensating a financial planning practice starts with the right model.

Financial advisor Christian D’Urso spends his mornings hiking, kayaking or biking, and his afternoons running a $110 million advisory business on the water.

The brokers are offering their practice management lessons and resources as scale becomes increasingly crucial to wealth managers.

After obtaining documents through FOIA requests, FP’s Jessica Mathews explains the larger industry implications of one firm’s internal investigation.