But Commonwealth Financial Network retains its appeal, pulling a team from Morgan Stanley, while LPL draws a large practice from RBC.
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A 20-plus-year veteran replaces Manish Dave, who left the post in October.
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Recruiting moves, M&A deals, influxes of capital, internal rollups and business pivots are fueling the industry's race to scale.
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Wealth Enhancement Group is the second large OSJ to go separate ways from LPL, following Merit Financial Advisors
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In this month's FACO, we asked how much time advisors spent on their firm's brands, what their marketing objectives were and their main sources of new clients.
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Nearly two-thirds of advisors surveyed this month said that internal training programs or workshops were offered by their firms.
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Across the industry, financial advisors are anticipating a busy 2026. From consumer protection cuts to AI regulation, wealth management could look very different a year from now.
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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.
- Tax TuesdayEvery TuesdayActionable ideas and savvy strategies advisors can use to guide their clients on tax matters. Delivered every Tuesday.
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- Best of the WeekWeeklyThe most popular stories of the week.
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For accountants and tax professionals working with clients age 50 and older, there are certain tax perks to recommend that could help boost savings for the future.
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Launching was the easy part. Our success depended on surmounting three challenges, writes Allan Boomer.
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This moment has revealed an urgent need for rigorous frameworks that enable the comparison of companies’ performance against racial justice indicators, Earl Carr writes.
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An increasingly popular form of lending enables financial advisors and their clients to offset capital gains and find other tax savings.
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An annual RIA compensation survey suggests that firms are paying a pretty penny for financial advisors — but reaping healthy profits.
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As a subscriber to Financial-Planning.com, you can earn up to 12 hours of CE credit from the CFP Board and the Investments & Wealth Institute.
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Chandan Lodha is the co-founder and president of
CoinTracker , the leading portfolio tracking and tax compliance software for cryptocurrency. Since co-founding CoinTracker with Jon Lerner in 2017, the company has helped users file over a million tax forms. Before founding CoinTracker, he was a product manager at Alphabet, working on Project Loon (internet for rural parts of the world via stratospheric balloons), Google Now and Knowledge Graph. He received his BA degree with high honors in chemistry and physics from Harvard University. -
A detailed to-do list for SEC-registered firms to build a foundation for compliant and effective anti-money laundering protocols.
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Robert Cruz has been with Smarsh for over ten years as the Vice President of Regulatory and Information Governance. His primary objective is to help Smarsh customers stay informed of regulatory developments and deploy best practices in the use of digital communications technology. Robert is a recognized author, speaker, and subject matter expert in the area of digital communications compliance and brings over two decades of leadership in the governance, risk, and compliance market.
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Partner Insights from Columbia Threadneedle Investments -
Partner Insights from Columbia Threadneedle Investments -
Partner Insights from Columbia Threadneedle Investments -
Partner Insights from Columbia Threadneedle Investments
