Practice management

Three investment advisory firms have been sanctioned by the SEC for repeatedly ignoring problems with their compliance programs.

Clients’ desire for principal protection plus profit potential has benchmark-based products booming.

The U.S. Securities and Exchange Commission voted unanimously to seek comment on a proposal to allow businesses to sell ownership stakes in their companies by soliciting investors over the Internet.

Warren Buffett’s holding company regained its ranking as the favorite stock pick among U.S. and Canadian multimillionaires, beating Apple and fending off the increasing preference for exchange-traded funds.

A great website isn’t so great if no one uses it. On the other hand, if your site is easy to use, it can be your most powerful marketing tool – generating leads, prospects and new clients.

Morgan Stanley picked up two former UBS advisors with a combined $3 million in production.

Financial advisors who specialize manage nearly double the client assets of their peers, according to a study of 7,000 advisors conducted by research firm Cerulli Associates.

At a panel at the national FPA conference, as well as in a new report from top study group aRIA, advisory firm executives spill their best human capital tips.

As retail funds for alternative investments become more widespread, planners must explain their purpose in a portfolio.

A former Merrill Lynch broker has been ordered to serve 38 months for allegedly bilking clients of almost $2 million.

Citing concerns, FINRA says it may make it harder for advisors to get records cleared.

CEO Jamie Dimon went to Washington almost a month ago to see if U.S. Attorney General Eric Holder would settle a criminal probe of mortgage fraud at the bank if it paid more money to resolve related civil investigations.

In a highly competitive industry, one of the most common questions advisors face is: How do I differentiate myself? Here are twelve steps to help you stand out from the competition.

If you’re breaking off from a larger advisory firm to go it alone, consider a specialty practice, say advisors.

Over the next 10 – 20 years, trillions of dollars’ worth of financial and non-financial assets are expected to be transferred from the boomers to their heirs. As a result, advisors must be prepared for these changes to make sure that inherited assets will remain with them.

The CFP Board “cannot justifiably act as both a regulator for continuing education providers and as a CE provider themselves,” FPA president Michael Branham said to a burst of applause Sunday at the general session of the association’s annual conference.

The brokerage added five advisors from Wells Fargo and opened three offices.

One of the most common questions people ask is: How do I differentiate myself? Here are twelve steps to help you stand out from the competition.

The typical credit union would have to increase the number of advisors it deploys by 39% to get to the same deposit coverage as community banks.

But beware, moves made in a portfolio should always take into consideration the client’s risk tolerance and long-term goals.