Wealth management

Even with $360 billion invested in smart beta, industry heavyweights say that more education is needed to make public aware of the strategies.

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CFP professionals overwhelmingly value the certification: 92% say they are very satisfied with their decision to pursue it, and 97% chose to retain their certification last year.

Ameriprise and one of its advisors were fined by FINRA after an investigation revealed the advisor doctored client documents and the firm kept quiet about the changes.

The SEC has yet to produce or even propose any binding rules regarding cybersecurity, but officials have been sending strong signals that they expect firms of all sizes to put in place policies and procedures to protect sensitive information.

Assets under management among SEC-registered advisors increased 12.6% in 2014 to $61.7 trillion in April, according to an industry report.

In tapping a discharged LPL broker, broker-dealer Wunderlich Securities could face 'reputational risk' and legal headaches, observers say.

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'Fidelity enhances its reputation as a forward-looking firm and Betterment benefits from Fidelity's brand name and access to their advisors,' says industry consultant Tim Welsh.

Wealth management advisory work has evolved from the retail brokerage days of the 1980s, when advisors were considered salespeople.

Janus Capital Group, which hired Pimco's Bill Gross last month, said it agreed to buy VelocityShares for at least $30 million to expand in exchange-traded products.

Clarity and even-handedness go a long way during a time when clients may especially need advice, say advisors who have grappled with warring spouses and matrimonial lawyers.

Female advisors from Raymond James' Private Client Group got a mix of planning tips, technology tricks, strategic advice and female empowerment.

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Global private wealth will grow 40% to $369 trillion by 2019, with more than one quarter of the growth coming from emerging markets, according to Credit Suisse Group AG.

Aequitas Capital is hoping to woo advisors with an unusual but potentially potent pitch: its expertise in alternative investments.

Abigail Johnson has climbed the ranks of Fidelity Investments, the company started by her grandfather in 1946, over more than 25 years, starting as a stock analyst and working her way through almost every major division.

Financial advisors get trained in taxes, but many times it’s just a basic framework for how to structure investments. A CPA can bring a much deeper level of understanding to a client’s tax situation.

Clients don’t think of themselves as average, and human advisors are best equipped to customize and personalize their solutions, advisors and industry experts say.

Data backup may not be the most interesting part of an advisor’s role, but they must make the necessary measures a top priority, compliance and security officers say.