The Newport Beach, Calif.-based firm, which has approximately $4 billion in assets under management, made its first move towards expanding beyond California on Tuesday when it signed on Bruce Meyer, former managing director of Copperwynd Financial...

On Wednesday, the SEC proposed open-ended rules aimed at reigning in incentive comp. The rules, which stem from Section 956 of the Dodd-Frank Act, would prohibit incentive-based compensation arrangements that encourage “inappropriate”...

The personal touch is still the most effective way for wealth managers to grow their business, but the use of social media is gaining fast, according to a new study by Advisors Trusted Advisor, a Medfield, Mass.-based practice management...

One of the most challenging conversations for a financial advisor to have is getting a married couple to agree on a financial plan. Husband and wife may have very different views on risk, as well as spending and saving priorities.

Wells Fargo Advisors has tentatively agreed to a $32 million settlement of a federal class-action gender discrimination lawsuit brought in 2009 by three women financial advisors who worked at its legacy Wachovia Securities brokerage.

As Baby Boomers retire, and switch gears from asset accumulation to asset distribution, advisors are going to have to become more sophisticated and efficient in their delivery of financial advice.

Many of your retiring boomer clients are dismayed to finally reach financial independence, only to find themselves spending valuable time and money supporting and caring for one (or two, or more) of their elderly parents...

Two years after many of Wall Street’s biggest banks nearly collapsed in the subprime crisis, half or more of individual investors do not trust financial services firms and brokerages, according to a report released Wednesday. And yet...