Wealth management

Some are calling for the CFP Board to get tough on conflicts and compensation as it finishes revisions to its standards of conduct.

Rapidly shifting economic conditions, a new tax law and the preponderance of low-cost passive products are just some of the obstacles in the year ahead.

Research traditionally funded by asset managers through soft-dollar trading commissions now requires added transparency.

The math works: Banks get a boost to their growth plans, while independent advisors get one more option for their succession planning.

Two Securities Service Network advisors have purchased 15 firms over a decade, and they plan to buy several more this year.

Women still only account for one-in-nine positions — but clients may benefit from diversity, according to a Morningstar study.

At least three dual practices with nearly $1.5 billion in client assets have left since the No. 1 IBD unveiled the new guidelines.

It's a sign the firm is still selectively hiring despite leaving the Broker Protocol last year.

Benefit are usually expected to replace about 40% of their pre-retirement income, but that's an average, so many people will get even less. The question is: how much less?

Unhappy with M&A offers, CJM chooses to stay independent.

Let’s face it, portfolio management will never be free.

"We've been waiting for the finicky sellers and now they're here," says Echelon Partners CEO Dan Seivert.

The No. 9 IBD has emerged as one of the major players in a tough recruiting fight after the massive acquisition.

"Simply calling yourself a financial planner does not make you one," argues CFP Board CEO Kevin Keller.

RIAs are repeatedly told to adopt new technology to stay competitive. Carson says his business is an example for the industry to follow.

Religious groups threaten to withdraw shareholder proposal on the bank’s decision.

After both firms exited the Broker Protocol, their attempts to browbeat advisors have largely failed, one recruiter argues.

Rival firms like Ameriprise could stand to gain as advisors adapt to new recruiting realities.

The move comes at a bad time for the firm, which amid scandals and mounting regulatory scrutiny has lost more than 300 advisors in a year.

Form U4s and U5s don’t always match up, but it’s still the advisor’s responsibility to be proactive, writes compliance expert Alan J. Foxman.