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Joanna Rotenberg, recently of Fidelity Investments, will lead Vanguard's newly created advice and wealth management division starting in 2025.

President-elect Donald Trump will loom large over financial services next year. But new CEOs at Vanguard and LPL Financial, new heads of professional organizations and other key players will also drive change.

The wirehouse is accused of not doing enough to prevent employees of its Smith Barney unit from making unauthorized transfers.

Health care advisory experts can secure substantial financial benefits for HNW clients while providing a value-added service for wealth managers and family offices.

Business goals cannot always put clients’ best interests first. Here’s why even the executives leading fast-expanding advisory firms say the critics have a point.

Stephanie Koch is the director of human resources at Hendry Marine Industries, Inc.

Index deletions lag the market by more than half in the year leading up to their removal from an index, but they historically outperform the market for at least five years after the breakup.

A young wealth manager has a vision for his new firm, but not every prospect fits into it. Should he be flexible about his client base, or stick to his target demographic?

A 20-plus-year veteran replaces Manish Dave, who left the post in October.

Hashim Toussaint is general manager and division head of digital & open banking at FIS.