Advisor News

Displaying 26937 results
FINTECH AUG 07, 2014
How to grow an advisory business with technology

Tech may not drive an adviser's profitability, but it's essential to building a practice

By Joyce Hanson
Widower asks why he didn't get survivor benefits
RETIREMENT PLANNING AUG 07, 2014
Widower asks why he didn't get survivor benefits

Blame it on family maximum limits, not sexism.

By Mary Beth Franklin
RETIREMENT PLANNING AUG 07, 2014
Stretch IRAs no longer targeted in Senate highway-funding bill

Individual retirement account beneficiaries can continue to stretch distributions over a lifetime, as the Senate dropped a provision in its highway funding bill that would have required those distributions within five years of the death of the original account holder.

By Mark Schoeff Jr.
RETIREMENT PLANNING AUG 07, 2014
Women closing financial literacy gender gap

Despite gains, steep learning curve remains on investing and cash management.

By Mary Beth Franklin
INDEPENDENT BROKER DEALERS AUG 06, 2014
Financial Telesis adviser with $700M bolts to Commonwealth

Benjamin W. Wong jumps ship as LPL begins absorbing his former firm.

By Mason Braswell
Five pieces of good news about retirement
RETIREMENT PLANNING AUG 06, 2014
Five pieces of good news about retirement

Take a break from the worry and self-flagellation to enjoy the brighter horizon ahead.

By Ben Steverman
REGULATION AND LEGISLATION AUG 06, 2014
Axing estate tax gains momentum in House

House Republicans want to vote on a bill to kill the estate tax --- for political gain if not for ultimate passage into law

By Mark Schoeff Jr.
PRACTICE MANAGEMENT AUG 06, 2014
Congressman explains why he's trying to stop SEC fiduciary rule

Based on an early personal experience, Oklahoma's Rep. Lankford says “Main Street people” would lose broker access.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT AUG 06, 2014
House insider trading probe involves 44 funds, entities

By Bloomberg
REGULATION AND LEGISLATION AUG 05, 2014
Finra panel smacks Morgan Stanley with $4.5M arbitration award

Morgan Stanley loses Finra arbitration dispute to Banco Nacional de Mexico SA, the Mexican bank known as Banamex.

By Bruce Kelly
OPINION AUG 05, 2014
Smart money eschews big brands

Huge study shows that the most knowledgeable consumers buy the less expensive, store labels.

By Cass R. Sunstein
OPINION AUG 05, 2014
Getting the most out of social media

By Kristin Andree
ALTERNATIVES AUG 05, 2014
Who's Finra protecting, anyway?

By MFXFeeder
PRACTICE MANAGEMENT AUG 05, 2014
Finra combs arbitrator list for bad apples

The regulator has completed reviews of all 6,300 arbitrators as arbitrator bias is “one of the hottest topics” this year

By Mason Braswell
PRACTICE MANAGEMENT AUG 05, 2014
Tips for finding the dirt during due diligence on funds, managers

Documents, documents and documents – and face time ndash; win a client's confidence.

By Liz Skinner
PRACTICE MANAGEMENT AUG 05, 2014
SEC approves Finra rule limiting expungement

Regulator signs off on a rule that stops brokers from including expungement as a term in settlements in customer arbitrations

By Mason Braswell
ALTERNATIVES AUG 05, 2014
Popular liquid alts funds face regulatory scrutiny

It could be a long summer for the fastest-growing segment of the mutual fund business as regulators zero in on both the marketing of the funds and the investment strategies they employ.

By Trevor Hunnicutt
RETIREMENT PLANNING AUG 04, 2014
Act fast to use a donation to avoid an inversion's tax bite

Shareholders of companies that expatriate seek advice on timing stock donations to charities

By Darla Mercado
RETIREMENT PLANNING AUG 04, 2014
How to get Millennials on track for retirement

Crushing debts could make long-term savings goals a hard sell.

By Mary Beth Franklin
RIA NEWS AUG 04, 2014
Newborn Lebenthal RIA triples its assets but expects more to come

Lebenthal Holdings stands to triple the size of its new wealth management unit with the acquisition of the business of two Morgan Stanley brokers. But that's just the beginning, if CEO Frank Campanale has his way.

By Trevor Hunnicutt