The impact of President Trump's push against diversity, equity and inclusion programs at the SEC remains murky, according to a watchdog report.

Industry experts say there's theoretically no reason why firms can't keep getting bigger through recruiting deals. But a lack of good M&A prospects could make growth harder for LPL and other independent broker-dealers.

Laura Sullivan stands accused of accessing confidential customer data and violating a nonsolicitation agreement by bringing along at least 15 client households.

A softening stance from the Trump administration could lead to a rise in the availability of cryptocurrency investments in 401(k)s. While some plan sponsors are considering crypto, they emphasize that investor demand will play a significant role in their decisions.

LPL Financial also pulls an advisory team from RBC, and Cetera hires a chief fiduciary officer for its trust subsidiary.

A relatively small fraction of financial advisors can speak languages other than English, making multilingual planners a distinctly valuable asset for firms looking to attract and retain clients.

Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.

Brian Mora, senior vice president of experienced advisor recruiting, thinks Ameriprise has the antidote to the high dropout rates seen in most industry training programs.

UBS continues to lose larger advisory teams after making changes to compensation policies last year. Meanwhile, Ashton Thomas and LPL both score advisory teams.

Expanded 529 plans and pass-through deductions are a boon for the wealth management industry, but the sweeping tax bill comes with its challenges.

Retiree income in the U.S. lags far behind the national median for household earnings, but these top cities are bucking the trend, according to a new SmartAsset study.

The flow of financial advisors to the independent channels is certainly accelerating. But the traditional brokerage giants still offer advantages for some teams.

A McKinsey study highlights the growing financial power of investors who are women and underscores that financial advisors who ignore them risk missing out on a $10 trillion opportunity.

Qualified charitable distributions have surged in popularity thanks to a shift away from itemized deductions, but experts say there's more work to be done around client education on the underappreciated tool.

The annual SmartAsset study reveals how the industry extends far beyond Wall Street's geography.

Also this week, LPL picks up teams from Cetera and Ameriprise and Stifel draws from Merrill

Also this week, Hightower invests in a large RIA and Bernstein names a new head of wealth management.

Despite the notable flows and valuations, some sellers get locked into an ill-fitting parent firm without many options for getting away.

The dilemmas from data, client demand and recruiting could provide opportunities for upstarts. Here's how wealth and asset management firms are responding.

The industry rivals could still turn to FINRA arbitration to pursue their dispute over allegedly unwarranted data breach notices Ameriprise sent LPL customers.