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Gift tax returns and the wealth transfer strategies they reflect don’t face the same IRS logjams as individual returns.

The advisors felt “some familiarity and also some loyalty” after spending decades affiliated with the wealth manager’s independent brokerage.

The wealth manager has primarily expanded through recruiting and M&A since its last major deal to acquire Hilliard Lyons.

The ETF industry is bringing a surprising twist to hands-off, passive investing.

Venture capitalists agree in spirit with an idea floated by the Securities and Exchange Commission that large private companies should divulge more about their finances. But they warn financial services innovation could be stifled if the requirements are too stringent.

The discipline and drive SaVion Harris learned on the playing field is serving him and his financial planning clients well, he writes.

FINRA alleges the firm failed to maintain control of billions of dollars in securities and spent more than a decade inaccurately disclosing potential conflicts of interest.

Firm may be less nimble, CEO Penney more transparent after shares float, analysts say.

Here's what you missed this week in wealth management.

Inadequate financial literacy is a problem for the majority of Americans. Fintech CEO Uzrad Lew chats with EBN about solutions.