Practice management

A former J.P Morgan advisor team that managed $1.5 billion in client assets has left the firm to join Wells Fargo Advisors.

Two former UBS advisors are moving over to Stifel.

Affluent, super affluent and ultra affluent: Infographic breaks down assets, investments, family tips, charitable habits and more for people with $1 million or more to invest.

A deep dive into data on households with at least $1 million to invest suggests conventional wisdom is imperfect.

Fidelity's new Office of the Future complex highlights the tech trends most likely to shake up your workspace.

If the relationship is confidential, disclosing even public information about clients is a no-no.

Clients may be skeptical, but responsive advisors can restore their trust.

Tommy Boyd started his practice in 1984 in Selma, Ala. Three decades later Boyd is working with multiple generations of clients across several states.

With new regulations on the horizon, a top FINRA official highlights the agency's efforts to establish a more flexible oversight regime that will be less of a drain on a practice's resources.

The merger creates $1.9 billion independent powerhouse in Florida; boosts succession plan for next generation in both firms.

'It's like rolling through a stop sign and you get the death penalty,' says the lawyer for Florida advisor Max Zavanelli.

After years of mastering the intricacies of investments and portfolios, many advisors still have a hard time really understanding clients. The broker-dealers in the bank channel are trying to help unlock those secrets.

Banks are still feeling negative effects from last year's sudden rise in medium- and long-term interest rates, but plenty of signs in the Federal Deposit Insurance Corp.'s latest industry update continue to point to a lending resurgence in the near future.

Critics of the DoL's effort to extend fiduciary responsibilities to retirement plan advisors scored a victory this week when the agency disclosed that it is pushing back the rollout of its proposal until at least next year.

Stifel Nicolaus & Co. has added a former Morgan Stanley advisor who managed more than $250 million in assets.

Growth opportunities for broker-dealers in the bank channel will come from within. Instead of seeking unprogrammed banks, they will focus on increasing their existing ranks and expanding their share of clients’ business.

Advisors recount efforts to help troops, being rebuffed by the military and their hope for change.

Following an investigation by Financial Planning that showed a strong link between money woes and troops taking their own lives, a lawmaker pushes for additional funding to help them get comprehensive financial advice.

Morgan Stanley sued to recover more than $3.6 million it paid to defend a former broker who was imprisoned for his role in a kickback scheme.

By snapping up a series of independent B-Ds in quick succession. the RCS Capital executive chairman has instantly made himself an industry player. He talks to Financial Planning about his plans.