Practice

Strategic buyers and consolidators like Captrust are driving a record pace in overall transactions and those involving sellers with at least $1 billion in AUM.

Michele Dillon, a 30-year veteran of wealth management, started in April

As demand for cryptocurrency services from institutional investors surges, the asset manager will add about 100 workers to help the business develop new products and expand into additional cryptocurrencies.

In J.D. Power’s annual survey, independent and employee reps gave wealth managers a higher satisfaction index than last year.

Two-thirds of advisors agree that technology is key to serving more clients and driving growth, and will significantly change advisory practices in the future.

According to Financial Planning’s 2021 Tech Survey, large firms are ramping up spending while smaller firms are keeping budgets modest. Are they starting to fall behind?

An array of personal experiences has helped them solve problems for physicians from the Middle East, colonels in the U.S. Army and professional athletes from Compton, the authors write.

Retirement plans that enroll all eligible employees get a very low opt-out rate -- and can help both workers and their employers.

Sanctuary also failed to review outside business activities of certain representatives and did not terminate a securities offering that failed to meet the minimum contingency requirement, FINRA says.

John Robert Jones Jr. is accused of convincing two dozen financiers to invest in two private unregistered funds with false promises of growth and limited risk.