The annual portfolio review season presents a mix of opportunities and potential missteps that can define client relationships for the year ahead.

“If you follow my advice, you should get a report card. If I am doing a lousy job, you should be able to fire me.” You might think: “Said no advisor ever,” but it makes good sense. One of the major ...

Since the SEC mandated that chief compliance officers must conduct annual reviews, they’ve been a source of stress and headaches for wealth management firms. Every year, financial advisors have to ...