Wealth management

The proposed consolidated database would bring together BrokerCheck and IAPD and include data on unregistered financial professionals across the industry.

The IRS plans to take further steps to discourage taxpayers from exceeding the limits on contributions to individual retirement accounts within a single year.

Overall client satisfaction with investment firms held steady, but the J.D. Power report identified at least one missed opportunity for advisors.

Nine smart things to do with a client's refund;Plus, reorganizing a client's portfolio to reduce fees, taxes.

Once known just for CRM, the company has since built out a broader cloud-based suite of tools. Joel Bruckenstein checks out the new offering.

One third of pre-retirees are likely to retire poor or near poor as a result of a significant decrease in employer-sponsored retirement savings plans; Plus, the single most obnoxious retirement fund fee.

Stifel's CEO says his firm is enlarging its footprint in the independent space because clients are migrating there.

Email marketing is stickier than social media and more precise than a blog post. Here's how advisors can get it right.

Funds focusing specifically on dividend payers offer narrower exposure than typical equity-income or growth-and-income funds.

New Hampshire wants LPL to pay $3.6 million in a fine, other costs and restitution, following millions LPL already has paid to FINRA and Massachusetts.

Boomers who fail to create an estate plan will create trouble for their heirs; Plus, three questions to ask before converting to a Roth IRA.

The wealth management business is so important to banks they're willing to pay top dollar for their wealth execs. Here are eight who rank among the five highest paid officers at their respective institutions.

As it launches instant payments using Dwolla, BBVA Compass joins a growing list of banks that are seeking "internal disruption" by giving innovative tech companies access to their inner workings.

As older clients start drawing down their wealth, the industry needs younger investors to ensure its future, says Janney Montgomery Scott CEO Timothy Scheve.

Andrew Bowden will return to the private sector after four years of working to streamline the SEC's advisor exam program.

The allegations, coming from two former clients of the recently dismissed advisor, demonstrate how a big producer could also become a big liability for firms, securities law experts say.

Fidelity's custody unit is backing a deal in which a Mariner Holdings unit will pay 35 basis points for referrals of mass affluent customers.

Conversations with several star execs from the financial advisory sphere reveal insights and action steps that could help other advisors.

Practitioners need to be aware of the tax-free IRA rollover rules that took effect on Jan. 1, 2015 to protect their clients from major tax problems and penalties.

IRS prosecutions spike in April, possibly as a not-so-gentle reminder during filing season that there can be a big price to pay for tax evasion and tax fraud.