Corporate governance

RIAs with $4 billion to $10 billion in AUM can turn their size to their advantage by strategically adopting tech products and processes.

UBS and Janney Montgomery Scott both made changes to compensation for advisors producing at the $600,000 level.

UBS and RBC lowered their payout rates for advisors on the low end of the revenue production scale.

The structure has been delivering tax savings to advisory practices and other professional services firms for decades. But experts say sometimes it's not the best fit.

The industry rivals are back in court with fresh allegations that Ameriprise falsely warned its former clients that LPL misappropriated their account information.

An industry consultant thinks Edward Jones' latest bid to start a bank is an attempt to add revenue sources as the traditional brokerage business becomes less lucrative.

Evan Becht told a FINRA arbitrator that he has not been able to find another job since JPMorgan's reasons for terminating him became listed on his BrokerCheck page.

The M&A flow may suggest that only the giants of wealth management will be able to navigate the business, but that dominating narrative is wrong.

Goldman Sachs, Bank of America, Wells Fargo and Truist are facing pressure from ISS, Glass Lewis and SOC Investment Group over their 2024 pay packages.

The founder of Tulsa Innovation Labs is calling for changes to draw more investments from civic-minded financial advisors and clients in their local communities.

A court of appeals agreed with Commonwealth's contention that a jury should decide if investors were harmed by investment disclosures allegedly withheld from them.

Experts say those survey results simply reflect successful and experienced teams, but the alphabet soup of certifications presents tough choices for current and aspiring professionals.

Ahead of Tax Day, annual return filings consume a lot of attention, but advisors and other experts say they pose opportunities for growth and savings as well.

Citi's proxy statement praises its head of wealth for bringing in net new assets and talent.

The public has until May 13 to comment on a proposal that would prevent brokers from having to list side hustles like online antiques stores or after-hours bartending gigs.

Not long after announcing a new set of services for high net worth clients, Edward Jones rewards CEO Penny Pennington with a $29 million compensation package.

Rather than a book on his investing philosophy, the longtime advisor offers the lessons that have made him "less stupid" over the years.

With the Trump administration pledging to review recently passed federal rules, the Investment Adviser Association wants to submit new comments on an anti-money-laundering law for RIAs.

SmartAsset analyzed the significance of the state-by-state figures on certificants, although some experts say geographic strategies are missing the bigger picture.

The murder of George Floyd nearly five years ago prompted many wealth managers to recommit to diversity, equity and inclusion. Some worry what little progress they've shown since is now at risk.