Practice management

Two former Wells Fargo Advisors who managed $400 million have left to join a firm with Focus Financial Partners, the network of independent financial advisors.

High-speed trading isn’t such a big problem for investors - but the underlying structure of the U.S. financial markets just might be.

HighTower has added a Merrill Lynch team with nearly $300 million in assets to its new network aimed at breakaway independents.

Charles Gualano isn't competing against other banks and their advisors; or even some lower fee structure. More often, he’s working against investors' anxieties or misconceptions.

Generational wealth transfers can play a large role in the future growth of advisory firms -- but woe to those firms that aren't prepared for it. A few planners share their strategies.

The Boston-based subsidiary bank of Spanish global banking giant Santander Group has overhauled the program it took over from Sovereign Bank and is looking ahead to significant growth.

Competition is getting even tougher. Make sure you offer clients better service, deeper relationships and access to smarter experts.

Advisor rating site BrightScope's first list of the country's "most social" advisors is met with some head-shaking by planners.

Putterman says his new consulting firm, 1812 Park, is aimed at developing long-term strategies for wealth management companies.

A former Merrill Lynch advisor team has left the wirehouse to form Quadrant Private Wealth, a new partner firm of Focus Financial Partners, according to a spokesperson.

It's hard -- really hard -- to pick investments that outperform over time, Fama, the 2013 Nobel prize winner in economics, told advisors.

Two issues that advisors have been closely watching are near the top of the commission’s list; namely, efforts to expand oversight of RIAs and enacting stabilizing reforms for money market funds.

You should not offer over-the-top services to all clients. However, when you decide which clients deserve the exquisite treatment, this is how you earn the right to ask for referrals

If you have clients with diminishing mental faculties, you need to know how to protect yourself.

A new withdrawal strategy from J.P. Morgan takes real-life spending habits into account and suggests clients could spend more at the beginning of retirement.

The world’s biggest bond dealers, including JPMorgan Chase & Co. and Morgan Stanley, failed to properly report trades to the industry’s price-tracking system more than 11,000 times. JPMorgan’s penalty: About three minutes of its annual profit.

Advisors who host an event to lure the well-heeled often end up being disappointed. Here are six steps to do it right.

You know that nervous feeling clients can get when they are worried that money is about to run out? It is not just mass-affluent clients; high-net-worth individuals experience that same nervousness. If you are in the investment business field, there are ways to deal with worried wealthy individuals.

Millennials represent $1.5 trillion in purchasing power and they want things the way they want them—if you want their business, you have to change, not them.

Raymond James & Associates lured away an advisor team from Wells Fargo Advisors that generated annual revenue of about $2 million.