Over the past couple of months, the “fiduciary v. suitability” issue has been cropping up more frequently in my conversations with advisors. Many independent-minded advisors from the large firms are wondering if they should “hit...

A sophisticated tool for evaluating Roth IRA conversions

BOMs are increasingly considered a cost of goods sold on the P&L statement. Consolidation is forcing them out of the business, or, if they are lucky, they are being pushed back into production. Or they can take a pay cut.

Summertime can provide ideal opportunities for advisors to improve relationships with affluent clients.

Squeezed by investor lawsuits, rising compliance and insurance costs, as well as departing advisors and clients, more of the industry’s smallest independent broker/dealers will fail or merge with other firms this year, say industry observers.

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