Practice

The enterprise left Kestra for Triad Advisors as part of the largest recruiting addition to the independent wealth manager in years.

We asked what experienced planners wished they knew when they started out. Here's what they had to say.

The wirehouse wealth head told SIFMA conference attendees to simplify clients’ lives, keep them on track and watch their backs; advisors say the pandemic and world events have brought a changed culture.

April and Column Tax are among the startups capitalizing on the idea that taxes are part of a person’s financial life and banks are most suited to help with tax preparation and filing.

Fieldpoint Private will offer private banking services to Summit Financial’s advisors, but it will give up its plan to fold into the Merchant-backed firm.

UBS brokers rack up expungements of Puerto Rico complaints

Denise Badgerow won her long legal fight, while a Pennsylvania RIA and the Massachusetts securities regulator are currently weighing their options after decisions.

Problems can arise when one soon-to-be ex-spouse is actively participating in the cryptocurrency market while the other has minimal comprehension of the technically sophisticated product.

The raise is a continuation of the $225 million round in January led by Apollo Global Management, Motive Partners and Franklin Templeton.

Lindsey Swanson’s career as a CFP was on the traditional path until her desire to help the underserved took her from retirement plans to porn stars.