Practice management

Michael Brannam and Patrick Brannam will join the firm’s Jacksonville, Fla., branch, where they will be equal partners of Brannan Wealth Management of Raymond James.

Merrill Lynch Wealth Management hauled in four advisors with $434 million in assets from Morgan Stanley.

The Milford, Mass.-based bank was drawn to Infinex’s technology and lead generation process.

FINRA has delayed consideration of a highly contentious proposed rule on recruitment compensation disclosure.

For many years top advisors have been telling you what clients want and need, how best to communicate, what types of events to host, all the way down to what to wear. But the only way one can really know, is by asking clients and prospects directly write advisor coach Matthew Halloran.

The Financial Planning Coalition submitted a letter to the Securities and Exchange Commission saying it would "vigorously oppose" attempts to weaken the fiduciary standard for broker-dealers and submitted research showing a client-first standard does not limit advice to “mass market” clients.

The Securities and Exchange Commission’s custody rule governing investment advisors’ custody of client assets imposes various requirements and, in turn, costs on investment advisors, who often need to hire independent accountants to conduct surprise examinations, according to a new report by the Government Accountability Office.

It may be difficult to resist, but responding to emotionally charged emails instead of initiating a verbal discussion can be a slippery slope. Not only can it harm relationships, it tends to be a distraction from what really matters write Dave Grant.

Third-party money manager CLS Investments announced the launch of a new multimedia educational initiative for financial advisors on Monday.

With a roster of clients that keep round-the-clock hours, one group created a strategy for keeping up without working advisors to the bone.

When wirehouse brokers consider shifting to independence, they need to weigh a lot of factors and ask a lot of questions. John Stuart and Mag Black-Scott of Beverly Hills Wealth Management provide 11 questions that should be top of mind before making the move.

Keeping track of your firm’s marketing metrics allow you to work smarter - not harder.

If federal regulators move ahead with a plan to impose a uniform fiduciary standard of care on investment advisors and broker-dealers, financial professionals anticipate that the cost of doing business will increase, with a result of higher client fees and more limited services, according to a new survey.

Nearly 70% of Millennials have no retirement plan, according to a new survey.

Sen. Pat Roberts, R-Kan., and Rep. Tom Price, R-Ga., have introduced legislation in the Senate and the House to block foreign governments from collecting taxes on securities transactions.

Independence is more than just a transition; it’s a transformation, an opportunity to own what you’ve created and a legacy you can pass on. Shirl Penney of Dynasty Financial offers his roadmap to RIAs and breakaway brokers.

A NAPFA membership rule change has provoked criticism for the way the decision was reached and communicated.

As regulators step up social media oversight, it will help advisors to spot the common danger zones that can trip them up as they engage on social media. Here’s what you should watch out for, and how to stay compliant.

Most financial professionals are not as referable as they think they are or as they need to be to garner a lot of great referrals.

Just days after luring another Morgan Stanley advisor, Stifel announced the hiring of longtime Morgan Stanley veteran Richard Linnihan.