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In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.

More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.

Running an advisory practice is a complex business, but wealth managers have access to resources, strategies and recommendations that can help.

Lumiant brought on a former Envestnet exec to lead the fintech company that wants to help advisors strengthen client relationships by engaging family members often overlooked by planners.

With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.

Proposed regulations provide the best window into the IRS’s current thinking on a variety of issues to date.

Many advisors cite “improving client service” as the catalyst for a move — but knowing what the real impact will be is critical.

Our annual analysis of core compensation components at wirehouses, regional and national BDs.

‘Active personalization’, ‘friend-shoring’ and SUVs over Formula 1 race cars.

From taxes and fees to allocations and changes in investor preferences, the go-to option in many 401(k)s can have drawbacks.