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Men dominate the largest financial institutions and the situation is even worse at family offices.

Other groups, such as those who used to itemize tax deductions but will now use the high standard deduction, are also advised to check their withholding taxes.

John Gregory Schmidt allegedly devised a 14-year scheme that straddled his time with Stifel and Wells Fargo.

Zoe Financial wants to create an elite network that brings together high-net-worth clients and thoroughly vetted RIAs, says CEO Andres Garcia-Amaya.

NAPFA’s chairman sees an “untapped market” opening up.

Establishing personal key performance indicators is vital, planners say at XY Planning Network conference.

Family offices saw a growth in returns last year fueled by soaring stock markets and private equity.

The advisors also reject the wirehouse’s claims they violated non-solicitation agreements.

A team of four women is moving to LPL in pursuit of what they say is a less difficult, lower-fee alternative.

The holidays must be coming soon because BIC is working on its annual ranking of top bank advisors.

The effective tax rate on qualified dividends for those in the highest income tax bracket fell.

Bari Havlik says she needs to know when examiners’ rulings appear out of step with the actual guidelines.

Under SEC rules, an advisor was statutorily disqualified after driving under the influence. Can he ever register with a brokerage again?

Some senior clients might consider buying a quality supplemental insurance plan, according to a Morningstar expert.

Most apps and automated investing from firms should be understood as sales efforts; private equity is backing tech to replace advisors.

The net outflows are staggering, but recent studies show the relationship is far more nuanced.

Advisor Gary Hirschberg already has plans to expand his young firm.

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

Private Ocean – Mosaic combination brings software expertise to financial advice battleground

In my view, the organization puts its own growth ahead of enforcing its certificants’ fiduciary standards. This holds us back from being seen as a true profession.