Practice management

Wedbush has brought on the former president of First Washington amid questions over his supervision of a former employee.

After a study found 53% of advisors intended to boost their allocation to U.S. equities, Denver-area CFP James Osborne took to Twitter to respond.

Setting realistic expectations for clients up-front is crucial to the relationship and can help you bring in new business.

Brokers who hold investors’ assets will have to file quarterly reports attesting to compliance with measures toprotect customer money and securities under rules adopted by the U.S. Securities and Exchange Commission.

A new poll indicates that more men than women may be willing to hire women as their financial planners.

Your clients come from a host of different cultures, whether you realize it or not. What are you missing?

Our legal expert discusses how to make sure you're getting your due in commissions.

Here's how to host an event that builds client business and referrals—without all the awkwardness

Wealth management firms target their young ultra-high net worth investors to strengthen ties to keep the clients for decades.

Cambridge founder CEO Eric Schwartz is making big plans to preserve the firm's independence and viability for the long term - by giving away control now.

Some advisors are great at strategic planning for others, but never plot out an ideal future for themselves.

If clients look at their access to you as one of the most valuable aspects of working with your firm, how much value is left in the firm when you leave and how will you ever have enough time? This is the “access to principals” paradox, says referral expert Steve Wershing.

Mike Boosel of Baird turned a part-time teaching gig, helping seniors learn about retirement planning, into a lucrative source of clients.

While the regulatory reform effort is likely to continue on its current path if Janet Yellen, the Federal Reserve Board's vice chairman, is tapped to lead the central bank, the future is decidedly murkier if Larry Summers wins the post.

"Videos often get judged immediately by viewers, and let's be honest -- personal finance videos are not the coolest things to watch," says Dave Grant. Here are some tips to help improve your video marketing.

UBS AG, the Swiss lender that’s shrinking its investment banking business to focus on wealth management, said it has a business relationship with as many as eight out of 10 billionaires in Asia.

Once you've identified the risks and opportunities among your female client base, it's time to take action to better serve female clients. Here are four key strategies to consider.

For any number of reasons, clients sometimes want to prevent their inheritors from draining their IRA accounts right after they die. LPL Financial is joining a handful of other firms in offering a turnkey product -- a so-called inherited “trusteed IRA” -- for advisors to use in these situations.

The Municipal Securities Rulemaking Board will issue two concept releases next month, one seeking public comment on whether to develop a best execution rule and another requesting input on enhancing post-trade data reporting and developing standards for collecting and disseminating pre-trade information.

Older clients create three major challenges for advisors. If planners aren't analyzing their client base and preparing response strategies, they risk jeopardizing the future of their business.