Practice

Called SMArtY, the firm's free offering is slated to go live this fall with spots on a waitlist available now.

Engine Capital, an activist hedge fund in the stock, called on Avantax to explore a sale last month, saying it could fetch as much as $32 per share amid rapid consolidation in asset management.

State regulators accused the wealth management giant of charging customers commissions of $75 or more for small equities transactions.

All customers with more than $1 million in assets have been automatically enrolled into a pair of new service plans.

Amid a low tide of deals, the giants continue to identify RIAs and other firms giving them more scale and new capabilities.

Jeff Jones sees allowing donations to 501(c)3 groups as a way to accommodate advisors coming into the industry from the insurance world.

Advisors seeking to sell their firms will find buyers that are increasingly focused on larger practices.

The firm's employee brokerage is bringing Alex. Brown, which it acquired in 2016, more firmly into its fold.

In an 'infinitely rare' move, one member of FINRA's arbitration panel wrote a lengthy dissent noting the ex-employee's extensive training in anti-money laundering measures.

Following a Supreme Court ruling banning race-conscious college admissions, some advisors fear that RIAs will step back from their DEI initiatives.