Wealth management

The firm picked up one adviser each from Merrill Lynch and UBS.

When a tax-deferred account is part of an estate, failure to follow the tax rules correctly can result in a financial disaster.

The SEC released a letter outlining where the most common deficiencies occur.

If a successor fumbles in those first few months, the group may feel like they have a problem, not a leader.

With these five funds, clients don’t have to spend a lot for a stock portfolio that pays.

It’s time to serve clients at every income level, the influential adviser says — in a big strategic departure from his firm's past emphasis on landing ever-wealthier prospects.

The recruit joined the bank’s private wealth management division after 14 years with the wirehouse.

There are more CFPs over 70 than there are under 30. The board's Center for Financial Planning looks to fix that with new diversity and internship initiatives.

So many terms, so little time. Test yourself using our third installment of our quiz series.

The private equity-backed buyer hopes to double its offices around the country in three years.

The team has formed Samara Capital and joined platform tru Independence.

The group generated nearly $5 million in annual production while at the wirehouse, according to the regional firm.

Intense competition and the advent of the fiduciary rule are prompting financial institutions to consider making select purchases.

The self-regulator is modifying its much-maligned process, addressing transparency and arbitrator qualifications, among other concerns.

By using this analogy, advisers can break through reluctance or fear and provide a clear vision of what success will look like.

Large firms backed by outside capital are swooping in on smaller advisers, according to a new industry report.

The nation's largest IBD vows to take a “proactive approach” to the fiduciary rule.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

By acting immediately when stocks turn, you can position yourself to receive significant additional assets, columnist John J. Bowen Jr. says.

Advisers report that the president's policies (and tweets) are affecting fund allocation requests.