Portfolio

The use of multiple entities as a means of shifting a high net worth client's yearly income could help rack up bigger breaks, with some caveats.

Rossby Financial CEO Andrew J. Evans applies the entertainment legend's "plussing the park" philosophy to keep his firm's tech stack flexible.

Ryan's selection may indicate an SEC aiming to resolve more violations by other means than enforcement actions, one lawyer said.

Also this week, Raymond James picks another team from Commonwealth amid its purchase by LPL, and Cetera recruits from B. Riley Wealth Advisors.

The current president of Omaha, Nebraska-based Orion Advisor Technology and former starting pitcher for the Vanderbilt University baseball team spoke recently with Financial Planning about his new role, AI, the challenges of bringing various solutions together in one place and more.

Recruiters say firms routinely cover advisors' lost deferred compensation in offer packages. Those deals are complicating efforts by advisors who contend they're still owed backpay.

Seventeen Democratic state officials urged major asset managers to prioritize long-term risks like climate change, rejecting Republican efforts to curb ESG investing.

Deploying mindful nutrition habits throughout the workday staves off advisor stress while sharpening analytical thinking and client communication skills.

Volatility, concerns over security and custody, and a lack of clear regulatory framework are the key barriers to adoption, according to Financial Planning's August Financial Advisor Confidence Outlook survey.

The Charlotte, North Carolina-based bank, which is focusing its growth push in the Southeast, is also planning to renovate 300 existing offices as part of an effort to attract more mass-affluent customers.