Practice management

Want to boost your clients’ retirement income by 29%? There are five things advisors can do to help clients meet their retirement goals

A Connecticut advisory firm has developed a new approach to help financial planners solve client problems more quickly and efficiently. The activity is aimed at strengthening internal communications across service units, exchanging institutional knowledge, supporting business strategy and day-to-day management initiatives, and developing personnel skills.

The future of a uniform fiduciary standard regulating the broker-dealer and RIA space is unlikely, according to Barbara Roper, director of investor protection for the Consumer Federation of America.

To compete with larger industry players, RIAs must improve their processes, according to a new study by Aite Group and Envestnet/Tamarac.

Why do some wealth management firms experience explosive growth while others plod along at a more leisurely pace? To answer this question, Fidelity recently invited senior executives from nine firms that manage $1 billion or more to join us for a full-day discussion of what’s driving growth.

A $1 million producer has jumped from Morgan Stanley to Raymond James in Columbus, Ga.

The 12 largest bank broker dealers boosted their revenue by 8% to more than $1.5 billion in 2012, marking the fourth consecutive annual increase.

Happiness is a choice, according to Shawn Achor, author of "The Happiness Advantage", and for advisors, it may be a key to increased productivity and client satisfaction.

Advisors who don't prepare their firms for demographic changes, regulatory uncertainty, and succession planning are setting themselves, and their firms, up for failuae.

Most planners do a lot more than select investments. So how do you measure the value of providing financial planning?

When you launch your own RIA everything matters. Even the color pink.

Globally, women are more economically powerful than ever before. Kathleen Kingsbury write that, despite this financial influence, many women still struggle to express their personal power in the workplace.

To generate more high-level referrals, Bill Cates suggests advisors try hosting a simple, targeted educational seminar populated by clients and their friends.

Janney continues to emphasize its focus on the Southeast with the addition of two former Stephens advisors in Columbia, S.C.

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.