Practice management

It’s complicated, but possible, to limit risk and liability when moving a practice.

Advisors list the top books on finance or economics they’ve read recently.

Unexpected windfalls and limitations may accrue to WFH clients — and their financial planners.

The agreement will expand the companies’ recruiting efforts in the bank and wirehouse channels.

After a pilot program in September, RBC is now rolling out the new software to its entire workforce of 2,000 advisors.

Focusing on training is an effective way to reduce industry attrition rates, develop better financial advisors and help more Americans grow their wealth over time, says Phil Sieg.

The legal tussle represents the latest effort by a brokerage firm to enforce non-solicitation agreements against advisors.

More than one-third of U.S. brokerage clients opened their first accounts in 2020, according to new research from the FINRA Foundation.

It may seem simple enough, but identifying how advisory firms are growing is a bit more elusive, John Furey writes.

These conversations might be uncomfortable, but early intervention and planning can help prevent major financial disasters.

Documents shed light on how two brokers overseeing trainees allegedly called hundreds of phone numbers on Merrill’s Do Not Call list.

Environmental, Social, and Governance (ESG) principles have moved from nice-to-have to business critical. Hear how Citi is facilitating and driving change.

Now is a crucial time to build and cement the bonds of trust between you, your clients, and your colleagues, says Kimberly Foss.

The private equity-backed firm’s deal could tack on some 900 advisors to its ranks.

The right strategy can minimize distraction, maintain productivity, and keep clients calm during the often sensitive 'divorce' process, says Robert Goff.

As the No. 1 IBD rolls out M&A services to advisors this quarter and reels in record recruits, Dan Arnold says the firm is experimenting.

The practice received a recommendation from a surprising source and wound up picking its suitor after only a three-month search.

APIs, proprietary funds, customer service issues: executives explain what they’re planning as their company hits $6.7 trillion in client assets.

Scott Ford is the new president of the 1,400-employeee wealth management unit that caters to affluent clientele of the Minneapolis company.

The acquisition of another midsize wealth manager will boost the holding company above 2,500 reps with nearly $95 billion in AUA.