Practice management

Three advisors were stripped of their CFP designations, 13 were suspended and seven were publicly admonished for technical infractions.

After 20 years with UBS, the nearly 40-year industry veteran will now head a Baird branch in the Midwest.

Financial advisors of all stripes have to adapt to evolving technology and increasing competition from online brokerages and other investment firms. Automation tools can help.

An advisor's move to HighTower sheds light on an issue that bedevils those making the transition: Whether to risk losing partners -- and possibly clients.

Retirement investors could post attractive returns amid high interest rates with high quality intermediate-term bonds: Plus, top mutual funds for 401(k) retirement savings.

Besides better plans, the personal financial portal of our planning software offers a number of benefits for clients.

The group was responsible for about $425 million in client assets.

The wealth management industry has long been characterized by a lack of diversity. After the success of Raymond James' Women Advisors Network, though, a group of advisors and branch managers at the firm has launched a Black Financial Advisors Network.

Better technology, cultural differences and bigger deals have enabled regional firms to recruit more competitively and keep up the momentum.

Gen Xers can save in their 401(k) plans for a longer period of time compared with baby boomers, and can expect higher tax-deferred investment growth; Plus, the best and worst states for retirement.

CEOs, when questioned in recent earnings calls, offered first impressions of the impacts the proposal may have on the industry.

With college costs soaring, clients may want to help pay for a family member's education. Watch for these trouble spots.

Recruits from Edward Jones, Morgan Stanley and Barclays leave for the wirehouse.

The association of state securities regulators has proposed a rule that would compel advisors to maintain formal business-continuity and succession plans.

Advisors who are helping clients prepare themselves financially for retirement are only doing part of the job needed.

The wirehouse picked up the Blaustein Clancy Financial Group in New York.

Both wealth managers, who left UBS, also had a combined $289 million in client assets before making the move, RBC said.

Target date funds charge higher fees and don't perform well during a financial crisis; Plus, three great freebies for retirees.

American workers and retirees are expressing higher confidence about their ability to afford retirement this year, even though there is little sign they are taking the necessary steps to achieve that goal, according to a new survey.

One of the advisors managed about $200 million in client assets while working for the wirehouse. The other joins a $500 million team at Janney, the firm said.