Portfolio

In a symposium, SEC Chair Gensler voiced concern about the technologies’ possible conflicts, biases and systematic risks.

More financial advisors are accusing independent wealth managers of acting like wirehouses and other employee brokerages upon their departures.

Lumiant brought on a former Envestnet exec to lead the fintech company that wants to help advisors strengthen client relationships by engaging family members often overlooked by planners.

With recent cases as teachable moments on what not to do, two of the top cops on the wealth management beat offer lessons to the industry.

Proposed regulations provide the best window into the IRS’s current thinking on a variety of issues to date.

Many advisors cite “improving client service” as the catalyst for a move — but knowing what the real impact will be is critical.

Our annual analysis of core compensation components at wirehouses, regional and national BDs.

‘Active personalization’, ‘friend-shoring’ and SUVs over Formula 1 race cars.

A study by the EU Business School found that thematic ETFs have higher expenses, higher risks and lower diversification.

Alternative investments such as leveraged or inverse ETFs, complex exchange-traded products and options remain areas of concern to the regulator.