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Investors are asking AI for help picking a financial advisor. Yet some firms remain invisible to AI. Here's how to get Claude or ChatGPT to name you.

A series of settlements and arbitration awards since late 2022 require Stifel to pay hundreds of millions over recommendations made by its former broker Chuck Roberts.

The number of SEC enforcement actions have dropped during the second Trump administration. But the new head of the division said he supports "quality over quantity."

Rossby Financial is deploying a profitability tool as it competes against much larger RIAs for financial advisor talent.

Jack Mullen has built an ultrahigh net worth niche at Merrill Private Wealth Management that functions much like a family office. Here's how he did it, in our latest installment of Know Your Niche.

Join us next month for a discussion on whether more clients should be in private markets, how advisors can explain the pros and cons of alternative investments, and just where crypto and digital assets belong.

Any RIA or advisory practice seeking to grow must weigh the price of its marketing efforts toward prospective new clients against the return on that investment.

In Wells' latest big recruiting deal, two separate groups at Merrill are coming together to form Twin Harbors Private Wealth at Wells Fargo Advisors Financial Network, or FiNet.

Defendants who've reached settlements with industry regulators complain their First Amendment rights are breached by orders forbidding them to talk about their cases.

Allowing clients to surrender or lapse life insurance policies before gauging value on the secondary market amounts to a fiduciary fail, argues Cole Hallman of Citizens Life Group.

The hire is part of a BlackRock's plan to strengthen its business with family offices, which it views as a rapidly expanding part of the wealth management business.

NASAA's proposal would align state laws with the SEC's marketing rule, eliminating concerns advisors have about running afoul of more local laws as they accept testimonials and reviews.

The FOMC meeting will be interesting as Kevin Warsh takes the chair. KBRA Chief Strategist Van Hesser will review the meeting, the presser and the new dot plot.

Tax delinquency is increasing among federal government employees as well as retirees, according to a new report.

Marketing experts say that advisory practices trying to grow organically must be thoughtful about the button that offers website visitors a meeting — or they could lose the prospect altogether.

Principality Private Wealth adds to the 115 teams &Partners has onboarded since its founding in 2023.

A lawyer representing a former UBS investor said he proved to FINRA arbitrators that his client would have been much better off simply putting her money into the stock market.

Wealth head Andy Sieg sees bank-based advisors as key to securing more of the $3 trillion its U.S. banking customers hold elsewhere. But he's also looking to AI.