If the cobbler’s kids run around barefoot, the financial advisor’s kids may be a little nervous about their college funds right now. A surprising number of financial advisors are not prepared financially for a year that likely will...

The gift that ultra-high-net-worth investors want most this holiday season is one step closer to reality: imminent congressional action on new estate tax rules.

HighTower Advisors, the fast-growing and well-funded Chicago-based advisory firm, has raised its profile again, hiring top recruiting executives from Charles Schwab and LPL Financial as it plans to open six new offices by April 2011.

Despite rampant speculation to the contrary, the SEC is not planning to write any new rules on broker recruiting bonuses, SEC spokesman John Nester told Registered Rep. magazine on Friday. At least one firm was already using the threat that...

Late this afternoon, two advisors from UBS’ downtown Houston branch, David Harris and Ann Deaton—principals of Harris Financial Group—resigned from the firm to join their former UBS branch office manager, Patrick Mendenhall, at...

In the aftermath of the financial crisis, asset managers have been busy rolling out new alternative products specifically designed for non-accredited investors. According to Morningstar data, there were 29 distinct alternative strategy mutual...

Wealth management firms can expect more competition from First Republic Bank following its imminent initial public offering. The firm, known primarily for its high-end lending business, plans to expand its wealth management division, it said in...

Is a decline across society in manners having an impact on your team? Consider the ...

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