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Why advisers should step up their game as the industry goes robo.

Wealth management leaders are weathering current markets while aiming to jumpstart AUM growth with expanded client services and new tech tools.

If you raise rates on the rich, will you lose them to other states? A study of 45 million IRS records suggests it doesn’t work that way.

A twist on benefits that can help UHNW clients win big estate tax savings and flexibility.

Two veteran advisers joined the independent firm, which is affiliated with Raymond James.

The bank's digital innovation chief has teams working with artificial intelligence to build a banking app you can talk to or text.

Yet that wasn't Merrill's only recruiting success, as the wirehouse also picked up a team overseeing more than $500 million in client assets.

The regional firm could lose a quarter of its customers who said they would leave, even if they loved their adviser, if their digital experience was subpar, according to a new poll.

A planner who used to be a practicing doctor found that much of the thinking on the most suitable niches didn’t apply to her.

The firm's latest acquisition is MacDougall MacDougall & MacTier, known as 3Macs, and which was founded in 1849.

Some insiders at big brokerage firms encouraged the DoL to maintain progress. "That kept us going," Assistant Secretary of Labor Phyllis Borzi says.

The recruits moved to the firm from Morgan Stanley, Wells Fargo, Stifel and Voya.

If you're still thinking about a client who may be suffering from diminished capacity or displays other worrisome signs, then you need to say something, says Dr. Nancy Needell.

Vice Chairmen Dan Cummings and Sam Chapin, who helped meld the wealth management firm to the bank after the financial crisis, are stepping down.

Firm relaunches as Aretec – Cetera spelled backward; new owners are undisclosed.

Careful steps need to be taken so FINRA won't consider it an outside business activity, says compliance expert Alan Foxman.

The case centered on the supervision of a now-barred broker, whose misconduct included encouraging athletes to invest in a Miami Beach nightclub and sending baskets of tequila to pro sports teams, according to FINRA.

Funds built with these tax-advantaged bonds resulted in strong returns in recent years – and even no fees in a few cases.

Are you using a robo adviser with clients? Be prepared to understand the inner workings of your digital tools, says Hardeep Walia, CEO of Motif Investing.

The elderly have called with technology issues, needing assistance with poorly understood account statements and to report scams. The calls also have helped the regulator identify mistakes and instances of abuse.