Wealth management

Morgan Stanley, Merrill Lynch and other firms have been benefiting from defections from Barclays. But those firms weren’t the only winners in the competition for top talent. See these moves and more in our latest recruiting roundup.

Critics charge that the fiduciary proposal will be a death knell for the brokerage model in the retirement space, leaving low- and middle-income investors without advice.

Potential regulatory legislation may soon restrict strategies surrounding the backdoor Roth IRA; plus, how to retire on $25,600 a year and why most clients can’t even guess what their Social Security benefits will be.

"While social media is new, the nexus between communication and leadership is not," says a social media branding expert.

New software aimed at helping advisors is coming into the market. But businesses of all sizes have budgets. Here are some tips for effectively implementing tech in your practice.

This time management technique plus these cool apps can help advisors improve productivity and make the most of their valuable time.

Digital-first firms gravitate toward a blogging website that has aired several heated industry debates, a markedly different approach from the cautious way traditional firms present themselves online.

The new regulations are meant to close loopholes in an interest rate cap that applies to active-duty soldiers and sailors. But financial institutions won at least one important concession.

By streamlining their finances, clients can gain a better understanding of their accounts, as well as save on fees; Plus, 5 steps millennials can take now to help themselves later.

Three recruits from the wirehouses join the hybrid RIA Washington Wealth.

The advisor agreed to a lifetime bar from the industry after a hacker who impersonated a client persuaded him to illegally transfer $160,000 of client funds.

Holding special events and activities for clients can strengthen relationships with wealthy individuals in your business, as long as advisors keep within compliance.

The Obama administration on Tuesday finalized new regulations designed to crack down on high-cost loans to members of the military.

Advisors must understand the impact different drivers have on your firm's valuation.

In separate lists, these are the five biggest consumer funds as well as the best-performing funds over the past year.

Client should plan the activities that will keep them busy, as well as nurture their social lives by making new friends; Plus, Canadian citizens may qualify for Social Security, although with caveats attached.

The SEC, not the Department of Labor, should "be driving this train," says SIFMA CEO Ken Bentsen.

Innovation labs are all the rage in the banking industry right now, but a debate has broken out about whether they will amount to more than window dressing.

With more than $23 trillion in high-net-worth investor assets still held outside of the industry, advisors still have "a huge opportunity," says Jonathan Beatty of Schwab Advisor Services.

An SEC compliance official says it's not a good idea for firms to "go in and very narrowly answer the questions, [not] volunteer anything, particularly if you're not trying to keep something from our attention."