The firm snapped up four Merrill Lynch advisors overseeing a total of $3.1 billion in assets.

The agency's chief administrative law judge has dismissed a commission order instituting cease and desist proceedings against two UBS executives in Puerto Rico for allegedly misleading mutual fund investors.

Pimco's Bill Gross said that wealthy Americans, having reaped the benefits of favorable tax treatment, should be willing to pay a greater share to bolster the prospects of the working class.

The expansion of cryptocurrency, stablecoins and tokenized assets means more complexity at tax time, including a brand-new form to manage: 1099-DA.

Women often evaluate financial decisions through the lens of community and relationships. Advisors who adapt their approach can improve retention and boost referral-driven growth.

Long-term financial security isn't always served by capturing the biggest account assets. Here's how financial advisors can best serve divorcing clients.

An increasingly popular form of lending enables financial advisors and their clients to offset capital gains and find other tax savings.

An annual RIA compensation survey suggests that firms are paying a pretty penny for financial advisors — but reaping healthy profits.

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.

Sima Gandhi is the co-founder of the Coalition for Financial Ecosystem Standards, an organization focused on setting risk management and compliance standards for bank partners, as well as a senior advisor at FS Vector. She recently sold her company, and prior to that, was on the executive team leading policy and banking relationships at Plaid. She previously held roles at the Department of Treasury and American Express. 

After substantial expansion under two earlier outside investors, the hybrid RIA is targeting double-digit gains with a new strategic partner.

Studies examining customer attitudes about their planner's identity often run up against the reality financial professionals say they experience.