Practice management

The industry regulator says increasing oversight of RIAs is a "top priority" as it appeals to Congress for a funding increase to hire more examiners.

Paul Reilly describes a recent leaked White House memo supporting the DOL's efforts as "an example of biased and distorted research [that] impugns the integrity of the work our advisors do every day."

Matt Lynch, a former B-D CEO, says his new boutique consulting startup will work alongside client firms through their most risky transitions.

Here are a few of the hard-fought mistakes planners say they've made, and the ensuing lessons they've learned.

President Barack Obama sent a $4 trillion budget blueprint to Congress that would raise taxes on corporations and the nation’s top earners, fund major investments in infrastructure and education and stabilize, but not eliminate, the annual U.S. budget deficit.

With gas prices declining, clients should rebalance and consider adding energy stocks to their portfolio as a way to buy low and increase stability to their portfolio.

Though the mutual fund provider will have a majority ownership in eMoney, the company will remain independent.

FINRA finally threw the book at a former J.P. Morgan registered rep who it claims issued unauthorized ATM cards as part of scheme to loot money from customer bank accounts.

A Morgan Stanley advisor left the firm to join HighTower.

Net new AUM is a "high-quality reality check," said Paul West of Carson Wealth Management.

Many non-working spouses are allowed to have an IRA but fail to open this type of account; Plus, suggestions from experts on fixing Social Security.

As e-readers have become more popular, publishing technology is now simpler, as well. Here's how to use an e-book to boost your credibility.

Recruiters see a banner year for advisor moves, likening the landscape to a seller's market.

An inside look at the ETF business of a Morgan Stanley advisor turned asset manager.

Couples should "practice being retired," taking long vacations and spending more time together -- but not too close to the kids.

Aiming at a new professional certification, the Institute for the Fiduciary Standard published a draft of best practices for fiduciaries, seeking to help investors distinguish between "product sellers and advice givers."

The National Football League season should remind retirement investors that luck also has a part in investing success aside from the years of preparation and good decisions; Plus, weighing the pros and cons of long-term-care coverage.

Next-generation advisors, next-gen clients and next-gen technology are at the heart of TD Ameritrade's newest programs for advisors.

Advisory firms are finally starting to provide a better experience for tech-savvy clients. Tamarac's new app is a step in the right direction.

Latest setback for Schorsch's financial empire as accounting firm steps aside.