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Mike Capelle, co-founder and CEO of Modern Wealth Management in Monterey, California, is in charge of the tech stack at the $6.1 billion AUM firm.

SmartAsset analyzed the significance of the state-by-state figures on certificants, although some experts say geographic strategies are missing the bigger picture.

Stifel follows closely on UBS's heels in getting hit with tens of millions in punitive damages.

Josh Brown, CEO of Ritholtz Wealth Management, invests in the fintech firm and joins its advisory board to help steer the product roadmap.

Advisors were right not to recommend the decentralized cryptocurrency in the past. They can be right again by recommending it today.

Regulators accused Cambridge Investment Research of directing clients to mutual funds and other investments that generated revenue-sharing payments when cheaper options were available.

High net worth individuals tend to think they can manage investing on their own. Researchers say that's an opportunity for financial advisors.

A federal judge agrees with Merrill that deferred compensation is a bonus used to reward employee loyalty rather than a retirement benefit protected by federal law.

With more views and options for financial advisors to be independent, TritonPoint Partners is offering up its take on flexibility, cash and equity, and employment status.

The House of Representatives passed a resolution to repeal the regulations that created reporting requirements for digital asset brokers using decentralized finance systems.

Organizations that work toward boosting industry diversity say President Trump and other critics may be missing the moral and business implications of their efforts.

The murder of George Floyd nearly five years ago prompted many wealth managers to recommit to diversity, equity and inclusion. Some worry what little progress they've shown since is now at risk.

In a positive sign for the economy, headline inflation slowed in February. But the reading alone likely is not enough to break the Federal Open Market Committee out of its wait-and-see mode.

The Trump administration's quick pivots and frequently changing plans fuel plunge in advisor confidence.

In an annual release, law firm Eversheds Sutherland finds the broker-dealer self-regulator's total number of enforcement actions increased last year, even as its fine haul fell.

The sharp reversal of Biden-era policy that capped overpayment recovery at 10% of a person's monthly benefit is expected to recover $7 billion over 10 years.

The authors of a new study explaining the specific significance of trusts for building Black wealth used the analogy of a beach filled with starfish.

Incorporating artificial intelligence tools into a tech stack can seem intimidating, if not overwhelming — but that doesn't have to be the case.

Looking back at the past five years of Financial Planning's regional 40 under 40 list offers insights on advisor success — and firm struggles.

Stuart M. Feld took the time to speak with Financial Planning about his vision for his newly created role, how the firm is using AI now and in the future, security and more.