Three investment advisory firms agreed to pay a total of $262,000 to settle Securities and Exchange Commission allegations that they failed to put in place and implement required compliance procedures.
Advisers keen on the idea of joining an RIA – but not so hot on giving up cash from transactions
To do their jobs, advisers must know the net worth of each and every one of their clients. So why is it so many advisers know so very little about the values of their own firms?
When it comes to quality of living, advisers need to head for the border
Targeted content for tomorrow's financial planners
There is plenty that financial advisers can learn from the late Steve Jobs
With 2011 sales of life insurance products up just 4% over last year, carriers and producers would be well served by mining social networks to step up growth.
With thousands of aging financial advisers hoping to sell their practices over the next decade, a big consideration is how much tax the owners will have to pay if and when they sell their businesses.
United Capital Financial Advisers LLC's purchase of Peak Capital Investment Services LLC last week is a sign of the times
It's a good time to sell a financial advisory business, especially if the owners have spent the past decade planning their exit.
It's a good time to sell a financial advisory business, especially if the owners have spent the past decade planning their exit.
Eric D. Brotman has met plenty of older financial advisers who have decided against selling their firms because they don't think that they will get a good price.
Randy Manley, 58, and Scott Miller, 57, have no intention of retiring from their advisory practice anytime in the near future.
Larry Lof began his transition out of the financial planning and investment advice business last year when he sold half his firm to his associate, Chris Lopez.
For David Drucker the reason for leaving the advisory business wasn't retirement but rather a change in career direction.
Adviser Sarah Barnhill is one step closer to her dream retirement on the white sand beaches of St. Croix in the U.S. Virgin Islands.
Advisory firm owners have a handful of options when it comes time to walk away from their businesses.
When Rich Warner decided to leave Edward Jones in 2008, he was feeling a little burned out by the stock market's gyrations.
Almost one-third of U.S. employers are likely to stop providing health coverage for workers in 2014, when U.S. subsidies become available for people to buy individual policies.
