Practice management

A capable and conscientious advisor can support small business clients by helping eligible entrepreneurs establish an Employee Stock Ownership Plan.

Mary Schapiro, the former chairman of the U.S. Securities and Exchange Commission, has joinedPromontory Financial Group as a managing director and chairman of its governance and markets practice.

U.S. companies will now be able to post their earnings on Twitter or update their status on Facebook as long as investors have been told in advance where to look.

Investors working with financial advisors were more confident and prepared than their unassisted peers both during and after the financial crisis, according to a new study from Fidelity Investments.

When it comes to staying in touch with younger investors, face-to-face or phone contact trumps social media outlets like Facebook, Twitter or LinkedIn, according to a new survey from Merrill Lynch Private Banking & Investment Group.

Younger advisors are outpacing their elder peers in attracting AUM, according to a Fidelity study that surprised even its authors.

Investors have major trust issues with their advisors.

Low-income individuals who use financial advisors reduced the risk of running out of money by up to 12.6 percent, depending on family status and gender.

There's a new addition to the "we already knew that" file -- a new Millionaire Corner survey of affluent investors.

An expanded database of complaints that consumers have filed against large financial institutions went public Thursday, but the debate over whether the new treasure trove of information helps or hurt banks is just beginning.

While most parents (73%) have regular conversations with their kids about money, they tend to shy away from conversations about long-term financial goals.

Steven A. Cohen did something unusual when Michael S. Steinberg was arrested on the morning of March 29 and accused of insider trading at Cohen’s $15 billion hedge fund SAC Capital Advisors LP.

Not sure how to help your small business clients see a situation more clearly? Try these road-tested tips in talking to your entrepreneurs.

The Minneapolis bank stakes its claim in the ultra high-net-worth space with facilities that are part private club, university, wealth management shop and boutique hotel.

Are your bank colleagues not referring business your way? Guess whose fault that is? It's not your boss's job, or anyone else's for that matter, to fix this situation.

Now that the infrastructure is in place, Umpqua Private Bank is ready to scale the business, says Kelly Johnson, the executive vice president of the wealth management division.

When advising small business owners, it helps to have the same passion — and entrepreneurial skills — as they do.

When speaking with small business owners, be prepared with specialized knowledge, willingness to coordinate, and the ability to handle emotions.

A run-down of the stories in this issue, including a discussion of the year following the Raymond James merger with Morgan Keegan.

Keep new leads coming in by branding yourself as a transition specialist.