Professional development

As Raymond James, Wells Fargo and RBC reported big recruiting deals this week, FINRA said it was going to pay back to its members a large chunk of the fees they paid last year.

The momentum is clearly accelerating behind registered investment advisory firms, but every individual team's choice requires careful consideration.

Osaic and UBS have both been on the losing end of some recruiting deals in recent months, while this week Cambridge, Rockefeller and RBC were on the winning end.

Some retirees have saved all their lives and want to live a little. Or a lot.

As an aging cohort of financial advisors prepares for retirement, firms are scrambling for next-gen talent. Yet a new study found that few have developed a comprehensive succession plan.

Experts from a Morningstar conference panel reveal the internal processes that could yield external success in the competition for attention and business.

Financial advisors can help clients find the right assistance and cost effective strategies throughout recovery.

Financial advisors report a variety of pros and cons with either setup, and experts say the decision comes down to highly particular factors at each advisory practice.

A former marketing executive at the CFA Institute faces charges of embezzling nearly $5 million to fund extravagant expenses, including luxury travel and a $150,000 engagement ring, according to prosecutors.

Many advisors face challenges building trust with Asian-American clients. Here are key strategies to establish those relationships.

Financial advisors and other female wealth management professionals say eliminating the self-doubt represents an important first step.

Also this week, Raymond James pulls from Ameriprise, UBS from Morgan Stanley and LPL from RBC.

A consulting firm's report on the future of the channel reveals the ambivalence and frustration many feel about the impact of M&A consolidation.

Other than satisfying important regulatory requirements, RIAs and their clients can exercise a lot of choice on costs. Here's how experts view the process.

RBC Wealth goes to UBS again to pull over advisors with large AUM tallies; Carson Group buys a firm in Colorado, and Goldman Sachs alumni set up an RIA through Dynasty Financial.

The self-assessment model is targeted at developing advisors' skills and encouraging client connections across all career stages.

They must file the lengthy and highly specific Form ADV document with the SEC and state-level agencies. And that's just one aspect of the many strategic decisions.

Wealth.com has built a client roster of more than 1,000 wealth management firms and several big-name backers. Now it's launching a yearly industry event.

Finding the right time to launch a registered investment advisory firm and the importance of building lasting client connections all play into advisor success.

LPL Financial also pulls an advisory team from RBC, and Cetera hires a chief fiduciary officer for its trust subsidiary.