U.S. and British regulators slam British firm with fines, citing compliance failures and inadequate safeguards for client assets

If work is done well but no one tweets about it, is it still good?

Guy Swain was a solo practitioner with a staff of two. He started thinking about a succession plan when his assistant moved out of town and he considered hiring a CFP to replace her

Columbia:  “Does any one firm have an advantage when it comes to working with the affluent?” asked Donald after my keynote.  Before I could respond, he threw in another question, “What do financial advisors need to know...

Trust levels up 12 percentage points from last year as HNW increase allocation in alternatives and foreign investments

LPL Financial has recruited a newly formed registered investment advisor, StreamSong Advisors in Grand Rapids, Mich., to its RIA custodian platform. The firm, founded by Thomas Braun, has $1.2 billion in assets under management. Since 2007, LPL...

How to avoid “go fever”