Practice management

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

This in-house position helps one firm attract larger clients and build contractual relationships with descendants.

Advisers may want to entertain a settlement offer from the regulator, even when planners disagree with allegations made against them, says our compliance expert.

By educating themselves and clients about these possibilities, advisers can diffuse some retirement planning worries.

Baha helped Jeffrey Gundlach turn DoubleLine Capital into a $100 billion asset management firm.

After the DoL’s fiduciary rule, this is just a cost of doing business for those offering retirement advice.

After DoL’s fiduciary rule, this is just a cost of doing business for those offering retirement advice.

How many women advisers work for the leading independent broker-dealers?

It begins with recognizing that this is a critical investment for succession planning and cultivating the next generation of clients.

Planners need to understand the needs and goals of athletes, and parlay those insights into a plan.

There is still work to be done, but the firm's platform empowers advisers and sees planning as an ongoing process.

"I have a terminal illness." "My daughter is in rehab." How planners can respond to disturbing comments or questions.

Miscalculations, assumptions, planners missing the point — find out how it all can go awry, and what can be learned after the dust settles.

Breaking down the benefits and red flags of the industry's leading acquirers.

One criticism of online advice providers is that they must improve how they communicate to their customer what to expect when support is provided.

Financial literacy is low, and advisers have the opportunity and digital tools to establish themselves as trusted educators.

Profits and revenues are down for all but one of the brokerages.

Many advisers have been suggesting saving too much, at the cost of living frugally before retiring.

Focus on the numbers when talking about risk.