Practice structure

Less than one-third of the community say they're working with an advisor, according to a Prudential Financial survey.

To attract new clients—and keep current ones — planners need to step up their game. Here’s how new digital tools can help.

The SEC found that auditing or testing would likely have revealed deficiencies in controls that allowed an employee access to client information at the wirehouse, says leading compliance expert Alan Foxman.

Is it time to try for another target market? Or just become a generalist? Forsaking current branding and marketing should not be taken lightly.

As social investing has broadened its horizons, returns have also improved, says Matt Papazian, CIO of Cardan Capital Partners.

Better engagement and smart analytics can "lift revenues significantly," according to the Global Wealth Report.

Choosing where to allocate resources is never easy, but a grid, similar to this one used by Commonwealth’s Joni Youngwirth, can help.

It takes more than a few star hires to build a sustainable practice. Here are some of the best ways to keep everyone engaged and improve clients’ experience as well.

One adviser got a frantic call from client in a sales office who actually yelled, ‘Help me!’ into the phone.

Careful steps need to be taken so FINRA won't consider it an outside business activity, says compliance expert Alan Foxman.

A new model of holistic financial advice is coming on the scene.

Hard-working advisers can earn fees awarded in bankruptcy courts. Is it worth the trouble?

Advisers looking to make a big business breakthrough might be good candidates to sign up for a coaching program.

Sometimes it’s OK to put aside gathering more assets and building a client base, says columnist Glenn Kautt.

The debate has spread far beyond planners and regulators, suggesting to some that public consciousness, and widespread change, might be on the rise.

“Racial bias does exist. Anybody who says it doesn’t is kidding themselves,” says Tony Barrett, a complex manager for Raymond James.

The dingy office, even one that provides excellent service, faces an uphill battle.

Hiring and acquisition misfires can set you back. Here's what RIA leaders say you can do to avoid their mistakes.

Firms that take a long-term view have the edge in securing the next generation of talent. But will the return on investment really benefit your firm?