Organization Root Tag

With the rule's implementation date around the corner, here’s what wealth managers should focus on in coming weeks and months.

Does holding a CFP, ChFC or CFA correlate to better client service? At last, hard evidence shows that clients do better with designated planners.

Harvesting losses to write off taxable gains is one strategy to address the Trump administration's plan to scrap the 3.8% net investment income surtax.

Commissions-based compensation models are losing ground to fee-based ones. But for broker-dealers, the switch isn’t something to be entered into lightly, Michael Kitces writes.

The wirehouse and other firms aim to cultivate a new crop of tech-savvy FAs.

The former Fifth Third program manager will also help Cetera-affiliated banks and credit unions grow their wealth management programs by increasing client wallet share.

The firm picked up teams from Merrill Lynch and Wells Fargo.

The new hire previously generated $1.4 million in annual revenue, according to his new employer.

We've reshuffled our top 25 program managers to list them solely by team production. Here are the top 15.

A FINRA arbitration panel ordered the broker to give back the bulk of his $675,000 signing bonus to SunTrust.

The regional firm’s new recruits joined in two locations.

The new offering would enable the firm to serve "more than their traditional wealth management needs," an executive said.

The duo led a seven-person team in Chicago serving 50 wealthy clients, according to the bank.

The robo advice firm says it already has a number of customers with more than $10 million each.

It seems that a long bull market in transition deals may be coming to an end.

Labor Secretary Alexander Acosta may have left a little wiggle room for future revisions.

In a complaint filed in federal court, PNC fired back at the hearing panel, saying that it exceeded its authority by disregarding the law.

Seeking more help from the industry, the regulator emphasizes a process that offers leniency for firms that proactively report and fix compliance failures.

Adviser Dan Moisand was surprised by the decision not to delay the fiduciary rule further. But he wasn’t put off. Here’s why.

There is "no principled legal basis" to do so, Labor Secretary Acosta says.