Practice Management

There was once a time when investors were only interested in those already independent. But wirehouse advisors are finding these same capital sources may have an interest in funding their move.

NAPFA’s diversity and inclusion steering committee created a guide for advisors eager to hire diverse talent.

This checklist will ensure you are putting your best self forward over video.

The SEC claimed Motty Mizrahi defrauded clients of more than $3 million over a number of years. Mizrahi and his brother also face criminal charges of wire fraud for the alleged scheme.

SEC Chairman Jay Clayton said he was 'cautiously satisfied' by Regulation Best Interest's rollout thus far and said that he was seeing harmonization in the customer experience in both brokerage and fee-for-service models.

Many regulatory analysts think it is unlikely that the SEC would undergo yet another rule-making process, especially considering how long it took to design and implement the current rule. But in a 'blue sweep,' Congress may act.

It’s hard to develop a strong personal bond with a prospect over videoconferencing.