Wealth management

According to a FINRA study, brokers paid 1,310 fines valued at $45 million last year. But what were the most frequent categories of fines? What type of activity should you avoid to avoid the wrath of regulators? Check out the FINRA countdown

National Advisors Trust launched a program on Monday to put a dedicated trust officer in registered investment advisor offices in order to create opportunities for more long-term trust business with high net worth clients.

Financial advisors are turning their backs on traditional wirehouses, bank brokerages and independent broker-dealers at rapid pace, according to a new report from Charles Schwab, opting instead for a hybrid model that allows them to serve as both an RIA and a registered rep and expand their pool of potential clients.

With tax season upon us, most advisors are looking for ways to help clients maximize their tax savings. But with some converting to Roth IRAs, the folks at Allianz offered some cautions to help navigate rocky conditions.

Bill Dwyer, the independent giant’s president of sales and national marketing, talks about his firm’s progress.

Americans held $15.6 trillion in retirement assets at the end of the third quarter of 2009, according to the ICI, but as we emerge from the Great Recession, advisors and investors want to know what they need to do to retain and grow assets from here.

A study of million-dollar producers conducted by Peak Advisor Alliance indicated that 10 key activities accounted for approximately 75% of their average week. Steve Sanduski, the author of our new blog, “The Prosperous Advisor,” examines these activities and why they are so critical.

Hershey Trust announced Tuesday that Bryn Mawr Trust will buy its private wealth group.

For three days, almost just over 500 and 75 exhibitors came to Weston, Fla., for the T3 Conference. Mike Byrnes of Byrnes Consulting sent some images highlighting the event (including looks at his favorite talks, one booth’s crazy attire and the best evening party.)

Broker-dealers had better be prepared to handle some tough questions on their procedures and controls to mitigate risk and can no longer pass the burdens of meeting SEC requirements to junior managers.

A recent study indicates that 49% of consumers share content online at least once a week, with 86% being shared through email. Email sharing even beat out Facebook (49%) and Twitter (4%). By marketing your content via email, you tap into a great opportunity to create valuable content that your recipients will want to share. Our new technology blogger, T.J. Gilsenan examine how.

The financial services industry can be a great career choice but unfortunately, a lot of new advisors never make it past the first couple of years. Advisor Keith Weber discusses some tips to help young advisors.

The company plans to increase payout for advisors with more than $50 million in assets under management.

The country's seventh-largest, fee-only RIA has carved out an exclusive and extremely profitable niche providing full-service investment advice and services to the ultra rich.

The Financial Industry Regulatory Authority will begin formally examining the operations of broker-dealers this year. Here are 11 holes to plug, based on a FINRA letter to chief compliance officers on Feb. 8.

Advisors braved bad weather to attend TD Ameritrade Institutional Conference in San Diego. Check out some images from different folks that attended the event.

For three days, advisors descended on San Diego for the TD Ameritrade Institutional Conference. Mike Byrnes of Byrnes Consulting sent some images highlighting the event. (Including looks at his favorite talks, speakers, and even the best booths.)

With Black Friday upon us, advisors will have a chance to add to their technology arsenal without having to blow a hole in their pockets. Here are 11 essential tech tools advisors should consider.

The new tax law has opened a substantial window of opportunity for wealth transfer. Help your clients take advantage of it.

High-net-worth families can leverage the $5 million exemption.