Practice management

Sending performance statements every 90 days can undercut planning goals. There is a better way to keep clients informed.

Even as markets regain footing after vote turmoil, there is still a “dark cloud” that advisers must be ready to discuss, says Greg Valliere, chief strategist for Horizon Investments.

Less than one-third of the community say they're working with an advisor, according to a Prudential Financial survey.

To attract new clients—and keep current ones — planners need to step up their game. Here’s how new digital tools can help.

The SEC found that auditing or testing would likely have revealed deficiencies in controls that allowed an employee access to client information at the wirehouse, says leading compliance expert Alan Foxman.

Some advisers and their clients are running afoul of an IRS rule, and oversights can result in substantial penalties.

Spousal benefits and survivor benefits appear very similar, but scratch a little deeper you’ll find a tangle of regulations and features. Here’s how to unwind them.

If done in a disciplined, thoughtful way, financing can play a pivotal role in the successful launch of a new independent RIA.

The strategy raises tricky tax reporting and regulatory questions.

Working with exactly the right type of client will enable you to accelerate your success in a way that working with every type of client never can.

As the go-to financial expert, you will probably be asked for advice. Here’s what to tell a prospective seller.

"I expect a seismic change as product manufacturers will have to adapt to the new rule," says NextCapital's Rob Forreger.

Advisers may need to put the brakes on those who want to invest too heavily in specific sectors.

With competition to RIAs increasing, the financial services giant will promote the value of independent advice.

Is it time to try for another target market? Or just become a generalist? Forsaking current branding and marketing should not be taken lightly.

Edmond Walters is seen as bringing deep fintech expertise to rebranded company.

Demand for ETFs soars; costs dominate adviser concerns, plus other key trends in portfolio management.

Women tend to outlive their spouses. At the same time, they are undersaving and underearning. How can advisers help?

Combine data from your practice with a personal touch to claim that young client who everyone fears is going to leave for a digital adviser.

Some advisers may think the regulations won’t affect them. Here’s why they’re wrong.