Practice management

The IBD completed a stellar recruiting year by adding a team led by a 30-year veteran advisor.

The California company, which focuses on technology companies and entrepreneurs, will make a big push into wealth management as part of the proposed acquisition.

Long-awaited advertising regulations allow for online testimonials but also increased risk of audits, observers and commissioners say.

“I diverged from the generic ‘dialing for dollars’ path to advancement and set out to learn from entrepreneurs and leaders from books,” writes advisor Chip Munn.

Despite lofty markets, offering a “lazy” portfolio may doom a number of ill-prepared planners in the coming year, our columnist warns.

Just like the industries that they cover, the lack of Black representation among news outlets acts as a barrier against understanding and eliminating systemic racism.

Attorneys, compliance experts and marketers weigh in on the regulator’s first update to advertising compliance in decades.

The worst fiscal crisis in decades is pitting U.S. states against one another over billions in taxes from residents working from home.

With an eye on pathways to fee-only practices and away from an “eat what you kill” philosophy, four planners aim to usher in a more diverse profession.

LPL Financial and indie rivals like Raymond James, Wells Fargo FiNet and Kestra Financial completed at least 17 recruiting grabs of $800 million or more this year.

The firm has about 200,000 staffers doing their jobs from home, a spokesman said.

It’s one of the largest teams to quit a wirehouse this year.

It won’t just change the composition of corporate board rooms. It may change conversations with clients too.

The OSJ scooped up teams from Edward Jones, Wells Fargo Advisors and Wedbush Securities.

Waddell & Reed had been working in recent years to transform its “proprietary broker-dealer into a fully competitive independent wealth manager.”

Funding is getting tighter as advisors look towards marketing automation as an engine for growth.

The Buffalo, New York location is the independent firm’s 12th nationwide.

Efforts to diversify boardrooms have taken on new urgency this year as racial unrest called attention to income inequality and pressure mounted on banks and other publicly traded companies to do something about it.

Foresight is key — today's “overqualified” hire could be tomorrow's "capable choice for a promotion."

Clients have been jolted into engaging with their total wealth, not just their money, says UBS’s Ultra High Net Worth and Private Wealth Management Americas head John Mathews.