Practice management

The U.S. has a record 10.1 million millionaire households, a Spectrem Group study shows.

The Consumer Financial Protection Bureau's second arbitration study indicates the bureau's intent to regulate financial institutions' inclusion of clauses that prevent customers from suing.

Some strategies aimed at reducing a client's FICA tax burden could actually sabotage future Social Security earnings. Here's what advisors must understand.

The wirehouse grabbed a group that produced $2.5 million at RBC.

Why companies should have to offer low-cost funds in 401(k)s; Plus three secrets to maximizing Social Security spousal benefits.

As federal regulators mull rules to extend anti-money laundering requirements to advisors, industry members might want to act on their own to set up formal programs to screen for suspicious activity.

Yes and no, experts say. But it's a thorny issue given that many IBD advisors consider themselves fiduciaries and do most of their business through RIAs.

Announcing its automated investment product, Schwab takes aim at new digital advice competitors.

Two Morgan Stanley advisors managing about $150 million in assets moved to the regional broker-dealer.

A team that produced $3.1 million in annual revenue moved between wirehouses.

The review is likely to start with broker-dealers and their platforms; It will coincide with a second, more targeted phase of the commission's cybersecurity sweep.

Banks can "dot the i's" by focusing on investments and insurance for their customers.

One strategy to handle the risk of higher interest rates is to invest in ETFs; Plus, picking a place to retire.

Learn how to earn money through IRA rollover options; higher earners should be aware of six mistakes that could result in higher costs and taxes; plus cheaper retirement plans for small firms with help of a new tech startup?

The firm's employee channel picks up two financial planners from brokerage M.J. Whitman.

The SEC acknowledges that cybersecurity requirements vary from one practice to the next, but insists that the tone from the top is critical.

Older clients will have a harder time grasping new ideas, but they also will be more certain and confident in their decisions.

Don't emphasize the money they'll make or the firm's reputation. Focus instead on work-life balance.

"I live in fear, quite honestly, of FINRA assuming the responsibility of examining investment advisors," a former SEC attorney told advisors at the Investment Adviser Association regulatory and compliance conference.

Advisors who can bring in and work with clients, wealth strategists with tax and accounting expertise and successor CEOs are in greatest demand.