Practice management

Andrew Bowden will return to the private sector after four years of working to streamline the SEC's advisor exam program.

Fidelity's custody unit is backing a deal in which a Mariner Holdings unit will pay 35 basis points for referrals of mass affluent customers.

Conversations with several star execs from the financial advisory sphere reveal insights and action steps that could help other advisors.

Clients can take an early retirement and withdraw from their accounts without paying any penalty if they opt for a substantially equal periodic payment program in their pre-tax IRA and 401(k) plans; Plus, how to navigate Social Security's highways and byways.

A former RBC team that had over $1.25 million in combined production has joined Janney Montgomery Scott.

Focus Financial expand into Southeast with family-owned firm that has $600 million in AUM but no succession solution.

HighTower adds a group led by one of On Wall Street's Top 40 Advisors Under 40.

More Democratic lawmakers are pushing for a measure that would increase Social Security benefits and raise payroll taxes to address the program's financial woes; Plus, how retirees can reduce their RMDs with a Roth conversion.

The billions firms spend on technology are weighted too heavily toward infrastructure, Aite Group says, and not enough on client-facing upgrades instead.

A 33-year industry veteran heads the three-member group.

Every day you delay is a day you are intentionally failing to comply with the rules.

The newest generation of up-and-coming investors will cause a paradigm shift in the development and delivery of services and products to meet their unique needs. Is your firm ready?

The firm recruited three advisors to its employee and independent channels from rivals Edward Jones, Wells Fargo and MetLife Securities.

Some advisors are hesitant to recommend a conversion for high-net-worth clients since President Obama supports changes to key features of Roth IRAs; Plus, can Social Security benefits increase after age 66?

Soon after launching, personal finance celebrity Dave Ramsey's EveryDollar budgeting app skyrocketed into the Apple App Store’s top 5 financial apps. But is it because the app is well-designed or because of his celebrity status?

A father-and-son team from Janney Montgomery Scott joined the wirehouse.

When it comes to actual dealmaking, using multiples is a dangerous and irresponsible way to value RIAs.

Contrary to so much that has been written and said about the rise of the machines and the demise of human financial advice, the need and demand for personal, face-to-face, human advice will remain. Here's why.

If you want to turn site visitors into clients, here are four things to keep in mind.

A client who earns a higher income than her spouse is advised to file for benefits before reaching full retirement age so her husband can begin getting a spousal benefit.