Wealth management

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

The IRS has issued new draft instructions, notices and a publication to help taxpayers and tax practitioners deal with the Affordable Care Act.

The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008.

Bogle wants to make your nest egg 65% bigger; How smart savers choose between a 401(k) or Roth IRA; Pensions stick with hedge funds despite CalPERS exodus

Census Bureau data comparing U.S. racial demographics with those of advisors show the gap is big. Financial Planning's research has found it may be even bigger.

Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners.

Morgan Stanley lures highly lucrative talent from Merrill Lynch while Washington Wealth Management grabs advisors from RBC and Wells Fargo plucks four from UBS. Here are the most recent moves among wirehouse advisors.

The firm’s new wealth management arm hopes Sayra will become the voice for women in the industry.

An S&P report finds investors who turn to actively managed mutual funds or ETFs for international exposure aren’t getting their money’s worth, but some experts disagree, pointing particularly to small-caps.

Schorsch makes big changes to the firm's executive team with a new CEO as well as the hiring of longtime LPL exec Bill Dwyer.

A workshop on an approach that some say goes far beyond classic principles, gives international players a taste of the process.

How to survive 4 major retirement hazards; Picking the 'right' hedge fund involves more than looking in the past; ETFs should be in your 401(k), says Morningstar

This is one of the most difficult conversations that planners have with clients, and yet it can be the key to success, experts say.

"Despite brave talk about 'I'll never put my kids through what happened to me with my parents,' 75% of people never have that cross-generational conversation," an elder care specialist told advisors at the FPA conference in Seattle, Wash.

American Depository Receipts can provide investors with an easy way to directly hold equities from around the world.

In which the author takes a pair of popular assessments and finds he’s not as daring as he thought he was.

Brad Bueermann of FP Transitions says you should go with the right fit when buying or selling an advisory business.

‘Dare to be vulnerable,’ planner advises colleagues at FPA conference.

Most advisors agree that having a defined and effective communications plan is critical, but far fewer give themselves a top rating for having such a plan. Here are five steps advisors can take to improve their client communications.

Social Security's strict disability rules; How to invest when the world is in chaos; New singles majority is bad news for Social Security