Practice management

As a generalist, advisor Jim Marquardt avoids cultivating a niche and reaps referrals in the process.

The robo "threat" may work itself out, says one expert, but that could take a long time. Plus, it's not the only pressure bank advisors are facing. We'll offer more details on these demands in the days to come.

Scott Upham of Cribstone Capital has found a niche in helping families maintain shared real estate.

Creating a performance management process will help firms get the most from staff members.

Advisors can help clients and their survivors by helping plan out funeral services.

Advisors can help clients avoid overpaying on taxes by reversing Roth IRA conversions when portfolios fall.

Doing something an advisor loves can bring in more clients than a slew of promotional meetings.

Bank customers who have financial plans are twice as likely to purchase insurance and investment products from their institutions, according to a new study.

Don’t forget the process of connecting on a holistic basis.

Advisors who differentiate themselves may land business as a byproduct of their unique approach.

FINRA's system for ensuring the integrity of advisors’ BrokerCheck records is broken but can be fixed, securities lawyers and other experts say.

Despite a ban, firms still offer clients money to not fight brokers' bids to purge their public records, lawyers say.

Two planners were barred from the industry for allegedly employing "deceptive, fraudulent and manipulative devices and schemes," while another had converted, or taken, funds from a client's estate and trust.

One wonders how a financial planner, attorney or accountant can know all the complex rules regarding IRAs. Here are several examples of the liabilities that can arise from making mistakes.

Going the RIA route is not an easy decision, but thoughtful preparation can get you there. Here’s how.

Some marketing may be counterproductive. Advisors need to communicate the value planners actually offer. Here's how.

Smart steps planners can take to build their business without hurting the bottom line.

A columnist is surprised by what he learns about his own practice when he hires a planner for his family’s finances.

To help smooth a transition to a paperless office, firm leaders should be ready to counteract common misperceptions and offer proactive strategies. Here’s how.

This type of software had the biggest influence on ROI, according to our tech survey.