Portfolio

Check in regularly as we update throughout both days of wealth management's first conference focused solely on AI in the industry.

Independent broker-dealers have found happy acquiring grounds in the insurance industry in recent years, as sellers seek to avoid heavy regulation and thinner margins.

September's roundup of pressing issues in the wealth management space include an elder scam lawsuit embroiling Charles Schwab, accusations against Raymond James for failures in customer complaint reporting and more.

Supervised AI tools can spot opportunities and reduce risk — ideally long before an RIA merger or acquisition closes.

End-to-end meeting manager GReminders is using AI to streamline all the other AI meeting tools, like Calendly and Fireflies.ai, under one roof to make life easier for advisors.

The advisor at the center of the case, Chuck Roberts, has been the subject of at least 19 customer complaints since late 2022.

The case is one of the latest to question if firms can be held liable for costly investment decisions made by clients showing signs of mental decline.

RBC Wealth also reorganized its private client group and appointed a new division head, and UBS named a market leader for its San Francisco business.

Marriage, government and employee benefits, and mental health often loom large for a base of clients that is more likely than straight peers to live alone.

Since being first given the green light by regulators two years ago, there are now dozens of these new vehicles available on the market. But experts warn they carry inherent risks for investors.