Practice management

James Simons, who founded Renaissance Technologies, hired Ashvin Chhabra to run his family office, leading to a shift in executive roles at Bank of America Merrill Lynch.

The advisor agreed to a lifetime bar from the industry after a hacker who impersonated a client persuaded him to illegally transfer $160,000 of client funds.

Holding special events and activities for clients can strengthen relationships with wealthy individuals in your business, as long as advisors keep within compliance.

The Obama administration on Tuesday finalized new regulations designed to crack down on high-cost loans to members of the military.

Advisors must understand the impact different drivers have on your firm's valuation.

Client should plan the activities that will keep them busy, as well as nurture their social lives by making new friends; Plus, Canadian citizens may qualify for Social Security, although with caveats attached.

An online platform designed to inform advisors about millennials is one of several approaches by fund providers to help better understand the new generation of investors as well as protect their offerings.

The SEC, not the Department of Labor, should "be driving this train," says SIFMA CEO Ken Bentsen.

With more than $23 trillion in high-net-worth investor assets still held outside of the industry, advisors still have "a huge opportunity," says Jonathan Beatty of Schwab Advisor Services.

An SEC compliance official says it's not a good idea for firms to "go in and very narrowly answer the questions, [not] volunteer anything, particularly if you're not trying to keep something from our attention."

Women over the age of 65 are twice as likely as men to live in poverty in retirement because of lower wages, more time spent out of the workforce and lack of access to retirement savings plans.

Will the trickle of advisors leaving Barclays for rival firms turn into a flood?

Ways your elderly clients can avoid becoming the victim of a scam; plus, what you need to know about Social Security benefits and what to do if your clients' 401(k) stinks.

The advisor managed nearly half a billion dollars in client assets while at Barclays.

The key to success for young adults struggling to build wealth in the aftermath of the biggest economic downturn since the Great Depression may come down to a familiar bit of advice: Mind your elders.

A senior Labor Department official says his team is amenable to tweaks in the proposed rules so long as the fiduciary relationship is formalized with the client.

How clients might benefit from putting a hold on certain retirement strategies; plus, tailoring retirement plans to small businesses and tips to reduce all that IRA paperwork.

The most important investment a wealth management firm can make is in its people. To thrive over the long term, firms must be able to attract and land great talent.

Regulators say that as threats continue to mount, they are expecting more formal policies and procedures from the firms they examine.

Even as a first step for clients seeking information on advisors, BrokerCheck is under scrutiny by advocacy groups.