Portfolio

It’s challenging to afford tech upgrades and meet compliance demands at the same time. Here’s how firms are doing the best of both.

Lightyear Chief Executive Donald Marron is getting a second chance to purchase the insurer's broker-dealer arm.

With regulatory scrutiny on the rise, Ann Limberg, U.S. Trust's head of philanthropic solutions and the family office, discusses her firm's approach to clients' charitable giving.

Even those clients who have amassed substantial savings or have pensions are not ready to leave the work force if they have no health care plans; Plus, talk to clients about these retirement myths.

Even as independent advisors rush to comply with new laws, they are also being urged to implement innovative digital tools. Here’s how successful firms are managing to do both—cost effectively.

Joel Bruckenstein puts two applications – RIAglass and MyRIACompliance – through their paces. Can they help advisors comply with regulations?

The CEOs of Goldman Sachs and Morgan Stanley are getting smaller pay days after shares for both of their firms undperperformed.

Municipal demand and prices are up so far this year, buoyed by market technicals, according to Jeffrey Lipton, head of municipal research and strategy at Oppenheimer.

Legg Mason broadened its alternative investments capabilities and also made a deal to expand its ETF business.

New to our 5th annual list of the largest independent planners, these RIAs are blazing ahead with new ideas and poised for growth.