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“It is shocking — never seen anything like it in my 40 years as a lawyer,” the wealth manager's attorney said.

Mutual funds and ETFs are often created with lopsided or unequal allocations toward certain sectors of the economy, experts warn.

The custodian is introducing a subscription fee and zero-commission model for advisors.

“The only reason why I could see them doing that is shame,” one critic says of the move; the board calls it an important shift in the conversation about fiduciary care.

Wealth management firms have a “massive opportunity” to use new methods of reaching clients and the wider industry, FiComm Partners CEO Megan Carpenter says in an episode of Financial Planning’s In|Vest Podcast.

Almost 50% associate negative emotions with the practice. Here’s how planners can help.

Passive ETFs are often among the first to feel the pain of investors fleeing risky emerging markets for safer assets.

Both recruits had a long history with wirehouses before trading them in for the regional broker-dealer.

All travel requests need special approval and existing international travel plans would need re-approval, according to a company memo.

A client's lawsuit claims the snafu caused users of its app “to miss out on some of the highest single-day market gains in recorded history.”

Managers who are can differentiate with solid ESG credentials stand to prosper, especially as a younger generation begins saving for investment.

The client, Moises Cosio, is a filmmaker and the scion of a Mexican banking and real estate fortune.

Aside from refinancing, retirees are advised to consider downsizing their homes to reduce overall spending.

Finally, I was able to talk openly about how financial services can be more inclusive of women and people of color. But did I have to leave to do so?

RIAs already on the platform can stick with the old pricing model or transition to the new one.

This three-tiered model may help.

It’s a short move for the advisors; only four blocks separate their old office from their new digs.

Whether it’s the products they’re developing or the projects they’re leading, the following asset management executives are among the most talented.

The asset manager is targeting as much as $1.5 billion in volume annually, up from about $300 million per year about three years ago, the firm says.

In an hour-long session, justices considered the agency's use of “disgorgement” to collect money from someone the commission sues in federal court.