People who work with an advisor have significantly higher levels of confidence across a range of areas, and those areas extend beyond the financial realm.
Emlen Miles-Mattingly of Gen Next Wealth knows financial planning is as much about values and relationships as it is about numbers and strategies.
The investment vehicle continues on the road to becoming a widely accepted and trusted core portfolio building block.
Thomas Kopelman believes in the power of social media to allow advisors to connect with clients genuinely seeking financial guidance.
Recent claims of pay discrimination, retaliation and sexual harassment have served as a painful reminder that progress for women in the financial advice industry is not a straight line.
Industry insiders explain the transformation from a time when investment selection was king to a more complicated era for clients, who want their lives to have meaning, purpose and legacy.
The disparity in fortunes between the leaders and those at the coalface is striking.
New tool aims to speed up processes for high-net-worth clients.
There's often a tax element in retirement planning that can be tricky for advisors, sending them for input from a CPA.
A focus on Vanguard led to a long-running independent newsletter and then a successful RIA.
The setup can result in larger firms offering customers better transaction prices than smaller ones, SEC Chair Gary Gensler said.
The planning, investing and discipline that financial advisors provide can dramatically affect a family’s choices for generations to come.
Firm launches Independence Hub to help educate those advisors making the transition to independence.
Services such as rebalancing and tax-loss harvesting will be available on Raymond James' managed accounts platform.
The federal regulation governing telephone marketing also covers texting, and now many states have put in place their own versions of the regulation, with different terms and definitions.
JD Power study reveals who’s leading the customer satisfaction race.
Kallsen most recently served as COO of Wealth Enhancement Group.
'What they’re seeing is a need for increased disclosures and transparency to the investors,' a compliance expert says.
The company's sprawling range of financial services include retirement accounts, which it is actively pursuing.
Avery will track firmwide compliance protocols for RIAs, broker-dealers and banks.
