Wealth management

Rather than investigate her claims against the head of the firm's wealth unit, the accuser claims that Citi's human resources turned its spotlight on her. Citi denies the claims.

The Wall Street giant still is often associated with deposits, lending and checking and savings accounts. But it's among the throng of firms seeking to give clients easy access to both banking and investing services online.

Many advisors haven't yet begun putting together an exit plan. Experts say there are common features and defined timelines that can help make it work.

Money News Network CEO Nicole Lapin and her RIA collaborators are building direct services through her growing base of readers, viewers and listeners.

The inquiry into the now-defunct Credit Suisse's former dealigns with Nazis comes as UBS pushes to build its U.S. wealth business working with wealthy clients.

The record pay package for the Goldman CEO comes after a year of soaring profits for the firm's investment bank.

Advisors know that a transition plan is important, but many fall into the trap of procrastination.

Plus, Cetera adds a $1.9B tax-focused firm, Choreo acquires two RIAs, and Modern Wealth expands in New York.

The raise comes following a year when the firm earned $57 billion in net income, approaching a record set in 2024. 

Advisors can maintain professional certifications while keeping up to date on important issues in tax planning, compliance and more.

Looking for a new challenge, Mark Seither found the complexities of pilot compensation and tax planning to be a niche that energizes him.

Brokers were worried a new rule intended to lighten their responsibility to monitor advisors' side hustles would ironically mean greater supervision duties with RIAs.

The results of Morningstar's latest study tracking fees and performance finds accelerating consolidation and commodification that makes advice more valuable.

A Ninth Circuit appellate panel ruled that10 advisors recruited to LPL from Ameriprise have the right to resist turning over their personal devices to a forensic examiner to be searched for evidence of misappropriated client data.

Even as crypto prices slide, a growing share of financial advisors are adding digital assets to client portfolios, with firm policies slowly catching up.

An internal successor, a seller and an acquirer dish out the most common mistakes they say advisory firms must avoid to address the challenge.

As adoption of the dual-wrapper products accelerates, so will questions about timing, pricing and residual balances.

Roughly 100 employees — mostly in management — are expected to move to the wealth management unit's new headquarters in booming South Florida.

Many owners of privately held businesses are planning to sell at least part of their interests in the firm in the next five to 10 years, a Raymond James study found.

Plus, Wells Fargo and Raymond James pull more teams from Commonwealth/LPL, and Elevation Point takes a stake in a UBS breakaway.