Practice management

More than two-thirds of advisors (68%) have no formal succession plan for their businesses and among those who do, the plans are sketchy.

The network of independent broker-dealers has introduced a platform that proactively rebalances client portfolios at all account sizes for lower prices.

Small business owners prefer a Tax Code with low rates and fewer deductions, according to a new survey by the National Federation of Independent Business, but their bottom line is whether their taxes rise or fall.

Charles Schwab & Co. is in the midst of a regulatory struggle with the Financial Industry Regulatory Authority that threatens to change how the firm and other retail brokers do business with its clients.

Few bank executives could state a clear and comprehensive wealth strategy. And most had trouble identifying something about their wealth management efforts that was unique.

What does it take to be a successful advisor? And how do you prove your worth to clients?

The future of financial planning will be shaped by a dozen key trends. How will these trends affect you and your business?

What is the proper role of an advisor in the board meetings. Should they attend? Should they speak? Steve Wershing says advisors have to understand the "don'ts" before they consider the "do's."

The number of tax-delinquent federal workers and retirees increased by 11.5 percent in 2011, according to Internal Revenue Service data.

Norm Champ has been on the job as Director of the Division of Investment Management at the Securities and Exchange Commission for eight months and a lot of mutual fund executives are nervously waiting for the SEC has in store for the industry in 2013 and beyond.

The interest in security among independent advisors seemed to have ratcheted up. Perhaps it’s because major custodians have acted to heighten advisor awareness of attacks, or it could be increased media coverage of Chinese hackers targeting U.S. websites — but either way, it was one of the key questions for attendees at February’s Technology Tools for Today conference.

Among the provisions of the new tax law is the introduction of in-plan Roth conversions for participants of employer-sponsored retirement plans. This provision may be especially valuable to high-income clients, according to Thomson Reuters.

What's worse than battling with a loved one over money? Watching another couple argue about money ... right in your conference room.

More than four years after the financial crisis, individual investors remain wary about investing because of market volatility and past portfolio losses. David L. Giunta of Natixis says it is also clear how difficult it will be for advisors and other financial professionals to help these clients take steps to act in their own best interests. But, now is the perfect time for advisors to re-engage.

Survey respondents estimate they will need on average about $66,000 in annual income, significantly less than their current average income of $115,000.

Zinder notes that there are 200,000 financial advisors, but that only about 1,000 or so are producing $1 million a year. What are they doing that you’re not?

The United States is far from the best country worldwide when it comes to retirement savings, according to an index based on data from sources including the World Bank and the United Nations.

The SEC and the IRS have met to discuss tax implications if money-market mutual funds were to adopt a floating share price, two people familiar with the talks said.

Jeffrey Rubin, a Florida broker, was barred from the securities industry after more than 30 National Football League players including Terrell Owens lost at least $40 million on an Alabama casino project that went bankrupt.

Bank of America Merrill Lynch released a new 401(k) report that shows that more employees are taking positive actions to save towards retirement, and financial advisors can have a direct impact on continuing that trend going forward.