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Saifr’s technology flags risks and compliance issues in documents, social media posts and videos before they are sent for review.

The global bank is weathering a scandal-tainted year.

Gift tax returns and the wealth transfer strategies they reflect don’t face the same IRS logjams as individual returns.

The advisors felt “some familiarity and also some loyalty” after spending decades affiliated with the wealth manager’s independent brokerage.

The wealth manager has primarily expanded through recruiting and M&A since its last major deal to acquire Hilliard Lyons.

The ETF industry is bringing a surprising twist to hands-off, passive investing.

Venture capitalists agree in spirit with an idea floated by the Securities and Exchange Commission that large private companies should divulge more about their finances. But they warn financial services innovation could be stifled if the requirements are too stringent.

The incident began when James Iannazzo ordered a drink without peanut butter for his son, who has a peanut allergy, according to a statement by police.

Both growth-focused ARK and value-driven Berkshire Hathaway have racked up gains.

The discipline and drive SaVion Harris learned on the playing field is serving him and his financial planning clients well, he writes.

FINRA alleges the firm failed to maintain control of billions of dollars in securities and spent more than a decade inaccurately disclosing potential conflicts of interest.

Firm may be less nimble, CEO Penney more transparent after shares float, analysts say.

Here's what you missed this week in wealth management.

As the K-shaped recovery continues, wealthy clients are calling their private bankers to see if they should borrow against their art or buy a fourth home.

Individual investors who were ahead of the S&P 500 for most of 2020 have been stuck behind the benchmark since early 2021 as stay-at-home and meme stocks struggled.

Bank of America revamped leadership across its wealth management business, placing more responsibilities on current heads Andy Sieg and Katy Knox.

Inadequate financial literacy is a problem for the majority of Americans. Fintech CEO Uzrad Lew chats with EBN about solutions.

Annual drawdowns tell us little about possible standards of living in retirement as investors spend dollars, not percentages.

CEO James Gorman set a goal of 30% after the wirehouse’s gains easily outpaced rising expenses from compensation and the E-Trade deal.

In this fireside chat, Ida Liu, the global head of Citi Private Bank, covers a range of topics, including how digital client engagement is evolving.