Practice management

The U.S. Supreme Court decision to hear arguments over Fifth Third Bancorp v. Duddenhoeffer – a case that questions whether it's prudent for companies to offer employee stock ownership within 401(k) investment schemes – will be front and center for retirement plan sponsors this spring.

A large majority of women say they would stay with their current advisor, even after the death of a spouse or partner, according to a new study from Russell Investments.

As the role and responsibilities of compliance officers have grown, so has the need to ensure that those employees can effectively communicate with the rest of the bank.

At Janet Yellen's first appearance on Capitol Hill as the head of the Federal Reserve Board, the country's top central banker did little to depart from her predecessor's views on key issues, often cautiously echoing his message from the past eight years.

A prominent provider of custodial services to RIA firms takes a big step to upgrade its core technology platform.

Are your prospecting events getting the results you want? Here are a few common mistakes that advisors seem to make.

While many financial advisors would prefer to have someone within their practice take over upon retirement, not enough are prepared for the internal succession planning process, according to one industry consultant.

What makes top advisors different from everyone else? "They go deeper," says one practice management expert.

Steward Partners Global Advisory has added Hy Saporta, a former Citigroup executive, as chief operating officer, managing director and founding partner to help the firm gear up for growth.

The censure decisions are the result of reviews by the Board's Disciplinary and Ethics Commission, which meets three times a year.

The highest-performing firms identified in Fidelity's RIA benchmarking study focused on 'smart technology and adoption versus chasing the latest and greatest tech products.'

It's time to quit recycling your goals and focus on what's relevant to your practice, says one practice management coach. Here are four goals advisors should be setting, but often don't.

Regulators will soon finalize their plan to establish a new leverage ratio and it is likely to be tougher than a recently implemented global standard, top officials said Thursday.

Banks with more trust assets under management produce less revenue on average than banks with fewer assets, according to a new study from Kehrer Saltzman & Associates.

Life insurer will offer three funds focused on fixed income, commercial mortgages and real estate assets.

LGBT investors face complex legal issues and this spells opportunity for financial advisors who know how to help.

Bank advisor teams command an estimated $243.2 billion in assets under management, or 39% of all assets in the channel. That's pretty good, considering that only 17% of bank advisors work in teams.

Lawmakers repeatedly returned to the question of whether the five agencies involved in writing the Volcker Rule can enforce it consistently across the various entities they oversee, during a House Financial Services Committee hearing featuring top regulatory officials.

Many wirehouse advisors had to change their compensation disclosure following an abrupt change last fall by the CFP Board.

With Walt Disney's hyper-focus on the guest experience as inspiration, here are a few ways advisors can create an even better client experience.