Transitioning client accounts is a big part of joining any new firm, particularly if you are starting your own registered investment advisor (RIA). But what do you really need to know to make the ...

Last month's column detailed why financial advisors need to at least consider adding managed accounts to their practices. It also gave some insight into investor types who would benefit most from ...

The brokerage plans to start notifying some clients in the fall that any fee-based accounts not transitioned onto its new advisory platform—Merrill Lynch One—by year’s end will be converted into ...

The agency life is definitely chaotic. It’s especially hard to keep your team focused when you are a small agency and you “suffer” from multiple-hat syndrome. Don’t get me wrong, I think people who ...

I'm looking to buy a small broker-dealer. The seller informed me that the clients have all transferred their accounts out (which is fine with me). However, it's my understanding that I have to retain ...

In bull markets, conversations about risk tend to take a backseat. When portfolios are climbing, it’s easy for clients to assume everything is fine. But recent volatility reminds us that risk ...

Will Kenton is an expert on the economy and investing laws and regulations. He previously held senior editorial roles at Investopedia and Kapitall Wire and holds a MA in Economics from The New School ...

Using technology to become more efficient is great from a practice-management standpoint. But wouldn’t it be even better if the technology saved tax dollars for your clients also? It seems like the ...

When a hacker impersonated a client to steal money, an advisor was faced with an expensive moral choice. It was a Monday afternoon. As the advisor sat across from me and told his story, I began to ...