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The Swiss banking giant said a planned change to its yields on clients' uninvested cash will take a $50 million bite out of its net profits.

Find all of the figures from Financial Planning's latest annual study of brokerages whose financial advisors aren't employees of the firms.

The largest firms enjoy distinct advantages, to be sure. But many small and midsize independent wealth management firms have an edge, too.

Advisor consultants say it's time to do a tech gut check as new technology is bloating firms into paying for costly and often unnecessary tech stacks.

Cadaret Grant agreed to fines to clear up allegations that it had failed to disclose conflicts with costly mutual funds and sweeps accounts.

July has historically been a strong month for ETF inflows, and this year was no exception.

Generation Z is hungry for authentic financial advice to guide them into the future, but planners must first form a 3D view of the challenges the cohort faces.

The trio of financial advisors cited the needs of ensemble advisory practices, succession resources and the option to convert to a hybrid RIA model someday.

Freshly split from Raymond James, a new hybrid RIA plans a multiphase transition that will culminate in over $3B in AUM.

Advyzon has grown for more than a decade using the strategy that all technology should be built in-house, even if it takes longer.

Recent years have taken the shine off of fixed income, both as a portfolio diversifier and a way to boost total returns. The prospect of falling rates next month promises to reverse that.

Planners can help savers avoid higher taxes, IRS penalties and Medicare headaches by guiding them through the strict guidelines for the accounts.

The latest push-pull episode between the giant firm and its large branches came to light in its earnings call. Unanswered questions loom large for its future.

Eight Broadridge employees rowed at the Paris Olympics this summer through the fintech's Elite Athlete Management Program.

The New York-based firm recently passed $2 billion in AUM and now has over 30 financial advisors.

The regional wealth manager reports losing 41 advisors in the second quarter, although its headcount was still up 4%.

Firms like Merrill, Morgan Stanley and Morningstar are finding ways to use AI to calm the storm of economic and political uncertainties

The litigation comes amid heated debate over a Department of Labor rule meant to prevent excessive fees on sales of insurance products.

Baseball cards, sneakers, cars, antiques and stuffed animals could sell for a lot of money, or such collections could be a time suck and an emotional drain.

Clients have several options to tackle this unpleasant topic, but for advisors, the best time to start the discussion is now.