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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.

Jim Cahn of WEG says there will always be room for small RIAs. But firms intent on growth will increasingly have to turn to larger partners for help with estate and tax planning, back-office support, and marketing and client referrals.

Between sunsetting provisions, wealth tax proposals and much more, Nov. 5 will have serious consequences in tax.

U.S. Bank Wealth Survey reveals 76% of parents would rather talk to their children about their choice of candidate, than their finances, at 63%.

A new Schwab Advisor Survey found AI is largely being used in back-office functions rather than consumer-facing, as adoption slowly takes hold.

A costly provision of the Tax Cuts and Jobs Act of 2017 is in limbo as policy wonks call for either big changes or outright elimination of the policy.

The SEC has charged Thrivent Investment Management for failing to comply with Regulation Best Interest's care and compliance obligation in connection with recommendations to retail investors in 529 Savings Plans.

Manish Dave, who has been with the firm for 18 years, oversaw a headcount that was formidable but stagnant in recent years.

After helping to lead a crackdown on the cryptocurrency industry and Wall Street's use of off-channel communications, Gurbir Grewal is leaving the SEC.

Industry experts and analysts take comfort in the firm's choice of Rich Steinmeier as interim CEO and say they see little reason to expect serious disruption.

According to a recent Cerulli study, more than half of retired 401(k) participants say Social Security is their primary source of income. At the same time, only 6% of millennials predict they will rely on those funds when they finish their careers.

The technology could change the way many financial advisors interact with their clients, but that evolution will come with important questions, an expert says.

Planners Carolyn McClanahan and Dana Anspach discuss how the client expenses work for their advisory practices as more firms rethink their approach.

The burgeoning "after loss" industry has the potential to differentiate RIAs from the competition as it fills a service gap in advisory practices, writes one of its pioneers.

Agencies including FINRA and the SEC are looking at new risks posed in common use cases of AI — meeting dictation services, chatbots and using data to hyper-personalize ads.

The second annual Private Business Owners Survey by Brown Brothers Harriman found that over one-third of private business owners said their family's values are different from those of the family business.

The former Wells employee says he was basically forced to quit after a series of fumbles by the firm cost him his book of business and brought his pay down to "minimum wage level."