Practice and Client Management News
Financial Planning's Practice and Client Management coverage includes essential advisor-level strategy and operational insight for firms and solo practitioners. Read how elite advisors build retention-driven practices, manage high net worth relationships and operationalize growth frameworks that go beyond rudimentary 101 topics. Learn the latest financial planning news from expert reporting and analysis that matters to industry leaders.
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After an exhausting presidential campaign, here are the key policy, investment strategy and practice management topics for financial advisors and their clients.
November 6
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With 2025 nearly here, year-end tax strategies including gifting, charitable donations, estate planning, retirement plans and more are on the table.
November 6
BNY Pennsylvania and BNY Wealth -
Firms such as Carson Group, Morgan Stanley, Morningstar and Merrill are taking vastly different approaches to naming their AI assistants, with some preferring a human name, a male name or simply no human identifier.
November 5
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A recent FINRA Investor Education Foundation report, "How Gen X Compares Financially to Other Generations: Doing Alright but Feeling Bad," found few born between 1965 and 1980 reported positive feelings about their financial situation.
November 5
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AI-powered YourStake has since expanded into a comprehensive advisor platform, offering portfolio analytics and meeting automation, claiming to save five hours a week for advisors.
November 4
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An industry survey of 200 compliance officers showed that a mere 12% of respondents currently using AI said they also adopted an AI risk management framework; experts said advisory firms need an AI governance plan ASAP.
November 1
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Cinda Collins alleged before a FINRA arbitration panel that RBC fired her in late 2019 in an attempt to "steal much of her book of business without compensating her for it."
November 1
