Moving to a new firm may seem daunting. Get the specifics on making the transition, including a timeline and guidance on critical elements such as a communications platform and client portal. Most important: Learn how to make it happen with the autonomy you want, as well as the resources and infrastructure you need.
The avalanche of cases announced Friday included charges against a no-longer registered advisor and firm accused of misappropriating more than $20 million from clients.
Insurance, emergency savings and estate planning documents are among the topics advisors should consider reviewing with clients.
Part of clients' anxiety about this issue stems from the uncertainty of how much or how long such health care expenses will be incurred.
President Trump signed a series of executive orders after his inauguration, including a hiring freeze for federal government workers, particularly at the IRS.
We named the largest firms and honored those making an impact in wealth management and technology, among other recognitions in the last year.
The many technical skills and professional requirements get most of the attention. But experts say a transition also requires a great deal of time and other capabilities.
