Practice management

"This may sound sacrilegious for a planner, but I’ll admit it: I’m not a big fan of investment management," says solo advisor Dave Grant. Here's why Grant decided to use a TAMP instead.

For traditional Super OSJs to survive and prosper over the long term, they must begin to provide a more dynamic set of services to independent advisors – who increasingly are facing greater practice management, asset management and technology complexities.

RIAs have a new top cop in Washington.

Con artists are taking advantage of the legalization of medical marijuana to lure investors into buying stock in weed-related companies, regulators said.

Are you paying enough attention to your top 20 clients? Here are some tips to help you retain your best clients.

Two of the most influential organizations in the world of independent planners, the CFP Board and NAPFA, do not agree on the definition of one of the most hot-button terms in the profession: fee-only.

LPL Financial wants its advisors to know that it has heard their complaints and is doing something about them.

Umpqua names a former Citi Private Bank executive to lead growth in the San Francisco region.

The Public Company Accounting Oversight Board finds for the second year in a row that accounting firms and broker-dealers share a too-cozy relationship that prevents thorough, quality audits.

Cook County, home to Chicago, had the rating on $3.7 billion of general-obligation bonds cut one level to A1 by Moody's Investors Service because it faces ‘formidable hurdles’ in fixing its pension system.

The administration's budget seeks 6 major changes related to IRAs and 401(k)s.

Carson's coaching firm, Peak Advisor Alliance and digital content firm, Faulkner Media Group have joined forces to create a new digital content service for advisors.

A federal judge raised the possibility that banks will have to repay billions of dollars to merchants, but legal experts say the court lacks the authority to enact such an order.

FINRA has fined Oppenheimer and Co. $1,425,000 for the sale of unregistered penny stock shares and for failure to provide an adequate anti-money laundering (AML) compliance program, which would detect and report suspicious penny stock transactions.

The U.S. government urged General Motors Co. (GM) to improve pensions of some Delphi Automotive Plc (DLPH) union retirees while cutting those of salaried workers to help ensure a speedy emergence from a GM bankruptcy, the watchdog of the Troubled Asset Relief Program said.

More than two-thirds of all students who graduate from a higher-education program that grants a degree or certificate in financial planning do not sit for the Certified Financial Planner Board of Standards exam, according to new research from the CFP Board.

U.S. District Judge for the District of Columbia Richard Leon warned attorneys representing the central bank he wanted a clear answer on the Fed's position on issuing an interim final rule dictating allowable fees for debit card transactions and how quickly it could be completed.

The letter, signed last month by 19 Senate Democrats and one independent who caucuses with the party, urged Obama to nominate Fed Vice Chairman Janet Yellen to succeed Ben S. Bernanke.

Many advisors have been surprised, almost shocked, to learn how unprofitable the bottom 50%, 60% or even 70% of their client base actually is.

Fewer RIAs this year are in the mood to sell thanks to stable growth in the markets.