Practice management

The turnkey asset management platform taps executives with experience at Fidelity, Schwab and Russell Investments.

When you “wow” prospective clients you increase your chances of earning their business and earning referrals early on in the relationship. Here are 6 things you can do to "wow" prospects even before the first meeting.

Researchers at a Federal Reserve conference in St. Louis provided data backing small bankers' concerns about regulation and competition, though it is unclear if the findings will led to meaningful change.

Two former Morgan Stanley advisors with approximately $1 billion in assets have jumped to RBC in New York.

The Business Roundtable, a group whose executive committee includes JPMorgan Chase & Co. head Jamie Dimon, said 21% of surveyed chief executive officers think it’s unimportant to have a “one-stop shop” for their financial needs.

A second quarter report found growth in both ongoing net contributions and positive investment returns, and across a range of retirement account types.

A pair of the country’s largest independent broker-dealers are the first firms to get the new recognition.

Change is coming faster than ever for the bank channel with disruptive technologies and social media altering the landscape in banking and elsewhere. Here are some ways to keep up and enhance your presence online.

Successful San Francisco advisor says the strategy has helped her own firm's business -- as well as progressive causes.

The Swiss Bank is reviewing loans issued to clients in Puerto Rico. One brokerage customer said he was given credit to buy risky bond funds holding the island’s government debt.

Technology has made clients and prospects hungry for information, but are you doing everything you can to satisfy that hunger when a potential client finds your firm online? Here are three ways to enhance your digital brand.

The SEC says it has reached a settlement with a Nebraska investment advisory firm charged with breach of fiduciary duty involving three funds it managed over the course of the previous decade.

Measures affecting Dodd-Frank Act requirements won’t move forward in Congress while the government remains shut down, according to two Republican leadership aides.

The IRS has temporarily stopped sending out tax refunds and the Tax Court has suspended operations as lawmakers in Congress continue their fiscal battle.

The Federal government shutdown will leave most agencies overseeing the bond market mostly operational in the near-term, but the municipal advisor rule’s implementation will be delayed and issuers are worried that Build America Bond payments might be cut off or delayed.

There is an abundance of technology available for financial planners and their practices. This hasn’t always been the case, but now the selections are almost endless. Here's how new solo planner Dave Grant decides what to use.

Case studies can be a great way to communicate the reasons a client should work with you -- as long as they want to read all the way to the end.

Atlanta Capital and PFM say they will offer more concierge services to families with less than $20 million in AUM.

A partisan stalemate that partially shut down the U.S. government may lessen the appetite of lawmakers for risking a debt default later this month.

The fate of the Dodd-Frank Act’s ban on banks trading for their own accounts -- one of the final pieces of the U.S. effort to prevent a repeat of the 2008 financial crisis -- may rest with a cluster of economists at the Securities and Exchange Commission.