Despite the compliance hurdles, more than one third of financial advisors see direct handling of clients’ assets by FAs acting as their portfolio managers clearly outpacing other fee-based management styles in the next three years, according to a...

Far fewer teams are making the jump to independence today, but they may be taking more assets with them. Still, the wirehouse model has its advantages and the indie model faces compliance threats.

Watch out for high-profile clients. If you make any missteps and they decide to wield their influence, it could really hurt. One financial advisor's tale.

Before I delve into the accounting loopholes used to prop 3rd-quarter earnings, I will start with pointing out the intimidating amount of choice for ETFs in the financial sector. ...

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