Organization Root Tag

As the RIA industry's own declaration of independence turns 86, its underpinnings have never been at greater risk, writes fiduciary maven Knut Rostad.

The tax-writing House Ways and Means Committee held a hearing to consider and pass eight bills related to tax administration and the Internal Revenue Service.

A survey found that a majority of investors disagreed with requiring scaling back to semiannual reporting for public companies.

There's a safe harbor for gift tax reporting, but the American Institute of CPAs recommends families educate themselves as the accounts go live July 4.

Whether advisors choose individual stocks or not, the SEC's proposal to allow semiannual reporting rather than quarterly could impact clients' portfolios.

The deal between Edward Jones and Quicken is expected to appeal to next-generation clients as they begin accumulating wealth.

Many clients avoid consolidating their assets at a single firm because they don't want the hassle. Advisors say it's important when to know not only when they're most likely to want to move assets, but also what to say.

Kevin Warsh set the table for change. Marvin Loh, managing director at State Street, discusses the FOMC meeting and Warsh's press conference.

In sessions at last week's Morningstar conference, Dimensional Chairman David Booth, "Unreasonable Hospitality" author Will Guidara and behavioral finance experts shared tips on how financial advisors can provide valuable coaching to clients.

The head of client segments in Morgan Stanley's wealth division acknowledges AI could one day be the primary source of financial advice for mass affluent clients. Morgan Stanley advisors working with wealthier investors will have to up their games.

For the truly rich, artificial intelligence can't compete with human advisors in handling many of their needs, according to a report from HSBC Holdings.

The Carefull tool integrated into Edward Jones accounts aggregates client accounts and monitors for fraud or mistakes.

BNY Pershing declined to state the size and fees of its clearing and custody business with RIAs and other wealth management firms. But that's hardly unique in a channel of the industry with shrinking margins.

Some advisors say they already have a hard enough time explaining what a fiduciary is under federal law and that NAPFA's new definition for fee-only planners will only add to the confusion.

JPMorgan wants a judge to overturn the FINRA arbitration award it was hit with after firing one of its brokers over expenses stemming from a Super Bowl-timed client meeting.

Gary Carrai draws on his previous experiences as a financial advisor to recognize what sorts of technical advances are most likely to be useful to LPL advisors and clients — and how much change they can tolerate at once.

In his new role at Wells Fargo, Andre Mansour is harnessing his Google experience to bring efficient, meaningful systems that assist both advisors and clients.

Portfolio managers from Fidelity, Columbia Threadneedle and JPMorgan said the case for dividend investing remains strong, even if it receives less emphasis than other strategies these days.

A note by Morningstar DBRS analysts warned of the risks working against big RIA aggregators' success in consolidating a fragmented channel of the industry so rapidly.

The big moves hit the Swiss firm as it continues to lose advisors on a net basis — though now it's reportedly sweetening its recruiting offers.