Practice management

Female financial planners heard several smart ways to expand their practices, develop specialties and better help each other and their clients at SourceMedia's Women Advisors Forum in San Francisco.

The income tax on conversions may not be worth the potential appreciation they will get over a period of time; plus, low-cost holiday gift ideas and ways in which to make your money last in retirement.

The SEC charged the firm with violating federal securities laws by providing unregistered cross-border brokerage and investment advisory services to U.S. clients.

"If you think you have no special needs clients, you probably are not asking the right questions,” says Mike Walther.

Advisors thinking of resigning need to avoid the pitfalls--here's a primer on how to consciously uncouple from your employer.

The IRS is considering regulations to limit assets in IRAs; plus, six ways to make a penalty-free 401(k) withdrawal and new rules that allow 401(k) rollovers into company pension plans.

UBS sought damages for breach of employment contract; an ex-UBS advisor countered that he brought in $20 million in net new assets.

New tech-driven startups have upended the financial advice market. Now they just have to get through the coming shake-out.

A Merrill Lynch advisor has left the wirehouse to join UBS Private Wealth Management.

Millennial women are making great strides in the workforce, but still "channel their inner ninth grade insecure freshman when it comes to financial matters," according to Fidelity's head of personal investing.

Moving into management isn't a natural progression for some. It requires a different skill set and it's not always the most successful advisors who make the grade.

Retirees may start their search by visiting Medicare's website where they can compare facilities; plus, a moderate retirement saver portfolio for young investors and eight things investors should be thankful for.

"You are the captain of your social media and marketing campaign," advisor Lynn Ballou told attendees at the Women Advisors Forum. Here are nine quick tips on how to make the most of your efforts.

One is to check how much you've contributed to your 401(k) plans and IRAs; plus, how to determine the "funded status" of personal retirement plans and the steps to take to ease post-career anxiety.

Stifel Financial hired a new branch manager who previously worked for Merrill Lynch.

The San Diego-based advisor allegedly participated in private securities transactions that resulted in two elderly investors losing more than $340,000.

Emphasis at the Women Advisors Forum in San Francisco is on smart strategies advisors can use to build their practices and support women in the industry.

"Most advisors are struggling to grow their businesses in a way that is directly impacting their bottom line," says FPA CEO Lauren Schadle. So what are firms that are growing doing right, and what should other advisors be doing differently?

Financial advisors say they want more help developing better practices. Asset management firms are answering the call.

Rather than relying entirely on themselves, self-directed investors are consulting more sources of investment information and advice, including real live advisors.