Practice management

Due to a 2010 FINRA rule change the answer is — with difficulty.

While the agency has publicly detailed key focus areas, some planners still don't know how it evaluates firms.

Digital firms are launching platforms to cater to faith-based investors.

A financial planner serving entrepreneurs decided to become an entrepreneur himself.

Advisors may be able to shift taxable income and potentially save on employment taxes, as well.

Advisor Chuck Cooper says he hopes the new practice will be a home for breakaway wirehouse and IBD-affiliated advisors.

The aggregator’s $300 billion-plus institutional retirement business is an advantage in a competitive market.

An advisor finds himself thrust into a role he did not anticipate when his married clients die unexpectedly, leaving two sons who need advice and support.

John VanEngelenhoven, who had worked at Schwab for 14 years, custodies with rival TD Ameritrade at the new firm.

LIMRA predicts that lower interest rates will cut into the record sales, but two top issuers received IRS rulings they say will help RIAs offer the products.

The firm added an experienced advisor from Wells Fargo after recruiting 72 other tenured reps in the second quarter.

As the season comes to a close, check out these recommendations for advisors and clients.

President Adam Antoniades cites record expansion for the year, but the IBD network faces challenges related to recruiting and debt levels.

Too often succession plans tend to be all-or-nothing. There are better ways.

To stand apart from broker-dealers, advisors may not need tougher rules, but smarter marketing.

Advisor Andy Saeger reportedly reached out to two clients via email and a LinkedIn message.

The simple addition of an exclamation mark to the names of some mutual funds led to significant declines in net flows, researchers find.

The departures mean my practice is losing thousands of dollars in revenue — for now.

Acquiring clients can be expensive. Some digital investing platforms have turned to a marketing strategy they say may present “conflicts of interest.”

The new recruits come from Merrill Lynch and Stifel, with $165 million in total client assets.