On day one of DeVoe & Co.’s Elevate conference, attendees were told to channel 'Kung Fu Panda' and be more like Starbucks.

A lot can be learned listening to clients’ experiences with financial advisors—good and bad. We talked to Mahesh Eswar of Princeton, N.J., an executive at a tech consulting company.

Bridging the gap among different types of advisors.

CEO Aaron Klein reiterated that it would not move toward asset management, but would orient the firm, and its identity, 'to seize the growth space.'

FINRA settled the charges with the firm and Donnie Ingram, claiming that Centaurus failed to properly supervise the recommendations Ingram was making to clients.

Classic Asset Management will pay more than $933,000 to settle charges with the commission. The settlement comes several months after the SEC’s Exam Division cited leveraged ETFs as a main area of focus.

Long-term, sustained growth is critical for advisors, and support of that objective should be top of mind as advisors consider a transition.

A lot can be learned listening to clients’ experiences with financial advisors—good and bad. We talked to Stan Kimer, president of Total Engagement Consulting by Kimer, a diversity and career consulting firm in Raleigh, N.C.