Portfolio

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.

Retirees are living longer than ever, but the wealth management industry is far from unanimous about how to plan around that fact.

Stifel pulls a $1.35 billion team from Raymond James, while LPL draws from Edward Jones and Wells Fargo, in advisor moves this week.

Mike Capelle, co-founder and CEO of Modern Wealth Management in Monterey, California, is in charge of the tech stack at the $6.1 billion AUM firm.

Stifel follows closely on UBS's heels in getting hit with tens of millions in punitive damages.

Advisors were right not to recommend the decentralized cryptocurrency in the past. They can be right again by recommending it today.

Regulators accused Cambridge Investment Research of directing clients to mutual funds and other investments that generated revenue-sharing payments when cheaper options were available.

High net worth individuals tend to think they can manage investing on their own. Researchers say that's an opportunity for financial advisors.

With more views and options for financial advisors to be independent, TritonPoint Partners is offering up its take on flexibility, cash and equity, and employment status.

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.