Practice

Surge Ventures has announced the launch of RegVerse, a platform focused on advancing regulatory technology by leveraging artificial intelligence to handle the compliance needs of RIAs and BDs.

Planners tout advantages of IRAs, equity investing and delaying retirement for clients worried about inflation.

Firms and industry groups warn that the regulator's proposal for reining in robo-advisors and sophisticated investing algorithms would step on their fiduciary duties and Regulation Best Interest.

These 10 firms have the most certified financial planners among their advisors, highlighting the channel's ongoing shift away from sales to advice.

The fintech founder who started his company in the fallout of the 2008 financial crisis says he wants to help financial advisors spend more time doing work that matters.

DAF skeptics say the funds are little more than tax loopholes disguised as philanthropy. Not so, says Brad Saft of DonorAdvisedFunds.com.

The CEO of the 10-year-old hybrid RIA sees opportunity ahead to scoop up smaller practices in a tougher environment for buyers.

Planner Faiza Kedir became the first to use the new affiliation, as independent firms seek to boost their appeal across the industry's spectrum.

Jonathan Vincent Glenn's admissions follow his $3 million settlement with the SEC over similar charges.

A new Arizent study finds that when it comes to diversity efforts that matter, "commitment" is the key word.