Wealth management

Are your prospecting events getting the results you want? Here are a few common mistakes that advisors seem to make.

Focus has assisted in a series of high-profile moves, Convergent pulled a director from Evercore and LPL and Commonwealth swapped firms. Here's a roundup of some of the most recent advisor moves in the independent channel.

The country's largest independent broker-dealer attracts 110 net new advisors in the fourth quarter.

While many financial advisors would prefer to have someone within their practice take over upon retirement, not enough are prepared for the internal succession planning process, according to one industry consultant.

A Laserfiche study finds better content management can improve firms' sale valuations by between $242K and $3.6M.

The Fed's tapering policy will likely result in a moderate rise in interest rates accompanied by modest equity returns, according to one investment strategist.

What makes top advisors different from everyone else? "They go deeper," says one practice management expert.

Steward Partners Global Advisory has added Hy Saporta, a former Citigroup executive, as chief operating officer, managing director and founding partner to help the firm gear up for growth.

The censure decisions are the result of reviews by the Board's Disciplinary and Ethics Commission, which meets three times a year.

We've ranked the top advisors in the bank channel based on trailing-12 production. See who comes out on top.

Advisors need to spend more time helping clients plan for long-term care and inheritance allocations before problems arise, says one advisor and author.

Retiree-focused Cherrington Brotsky left Morgan Stanley to join broker-dealer FSC, a member of Advisor Group.

American College of Financial Services taps a Wells Fargo Advisors executive as chairwoman of its board of trustees.

The highest-performing firms identified in Fidelity's RIA benchmarking study focused on 'smart technology and adoption versus chasing the latest and greatest tech products.'

From suitability and complex products to cyber-security and data integrity, where do broker-dealers start? Here's an overview of some of the areas that FINRA or SEC examinations will likely focus on at firms in the coming year.

It's time to quit recycling your goals and focus on what's relevant to your practice, says one practice management coach. Here are four goals advisors should be setting, but often don't.

LGBT investors face complex legal issues and this spells opportunity for financial advisors who know how to help.

Securities America and United Advisors have recruited Kevin Hughes, a top former Morgan Stanley branch manager, to head up their new hybrid independent wealth advisory business.

Advisors must consider whether bank stocks pose a particular risk to dividend-focused clients.

Many wirehouse advisors had to change their compensation disclosure following an abrupt change last fall by the CFP Board.