Practice management

A Detroit investment adviser will pay $3.1 million to settle U.S. Securities and Exchange Commission claims that he stole money from a police pension fund to finance his purchase of two California strip malls.

Women advisors descended on Dallas for the recent Women Advisors Forum. The day of educational sessions, discussion and networking opportunities featured an array of topics from how to use complex assets for charitable giving to succession planning and what it’s like to start your own business after starting out at a wirehouse.

“Nothing I did in the last five years had anything to do with selling on a commission basis,” he told Financial Planning.

Hilliard Lyons continues growth in North Carolina with the addition of two former UBS advisors.

The Securities and Exchange Commission has improved how it justifies new regulations after at least five recent court defeats faulted its use of economic analysis, according to an audit by the agency’s inspector general.

The Securities and Exchange Commission has paid $580,000 to settle claims by a former internal watchdog that he was fired in an effort to quash his investigations.

From not giving up your audit too soon to wise words from Pershing's Mark Tibergien on creating a human capital strategy, here are some of the smartest things we learned at this year's INSITE conference.

Like star athletes, advisors can experience “imposter fear” – worrying that their success is owed to luck and somehow they’ve fooled others into believing they are skilled professionals. Jack Singer, an advisor coach and sports psychologist, offers insights on how advisors can overcome this fear.

SpringReef Partners, a consulting firm specializing in evaluating wealth mangers for high and ultrahigh net-worth clients, has been acquired by Aronson, an accounting and consulting firm based in Rockville, Md.

Writing and send a press release sounds like a simple way to hang your shingle as a new RIA, but Dave Grant said the process is more involved than he thought.

A slew of recent regulatory shifts is keeping examiners busy -- and advisors must know how to react when they get a call from FINRA or the SEC.

Regulators have formed a working group to enhance coordination between federal and state banking agencies on cybersecurity.

Defined contribution retirement plans could improve their risk-adjusted returns by broadening their investment options, according to a BNY Mellon report.

A focus on advisor fees and compensation is all well and good -- particularly among the next-generation of investors -- but advisors say that focus can sometimes be misguided.

“I think probably the No. 1 area of angst for advisors running their own firms is the efficiency of their business,” Pershing's Mark Tibergien said Thursday during an interview at the Pershing Insite conference.

Advisors with growing practices quickly realize that it’s helpful to pass as many tasks to a strong support team. Ken Haman offers some practical insights and suggestions for how you can more efficiently develop a great support team and then manage their focus on deliverables.

The Securities and Exchange Commission's long-awaited proposal to reform the money market mutual fund industry has left observers wondering whether the agency compromised too much in an effort to get a plan out the door.

With the multitude of challenges confronting investors today, consumers need financial advice more than ever before. But advisors must first capture their attention and engage them. Steve Dowden says advisors need to build a platform to shout their message from.

A broad coalition of advocacy groups is calling for the SEC to press ahead with an expansion of a fiduciary standard to hold broker-dealers to identical standards of care for retail client that are already imposed on investment advisors.

Advisors must adapt their thinking and shed their stereotypes about today's "modern family" if they want to attract more high-net-worth clients.