Practice and client management

The former employee is accused of shuffling information to two friends.

The president of Kestra Financial spoke with FP about the power of using relationships to help recruit big talent, and how the firm differentiates on the talent market.

Former SEC lawyers say regulators are now likely going through their cases and deciding which are emergencies worth pursuing even if the agency's staffing is severely reduced.

The new guidance from the agency lays out the complicated rules for qualifying for up to $5,000 in subsidies per residence under the Inflation Reduction Act.

Financial advisors getting calls or emails from panicked investors can remind them that experts predict any economic impact would be limited and temporary.

Reuters reports that federal regulators have brokered deals with two dozen firms.

A wealth manager in Cincinnati has little room for new clients, especially one with few assets to manage. Can he turn him down?

These 10 firms are driving the ongoing shift in the industry to fiduciary advice and away from sales commissions.

When it comes to charity, last year wealthy families gave differently — and invested differently.

The firm's record headcount could grow even higher after it joined the constantly expanding group of dealmakers competing to buy retiring advisors' businesses.

It's no easy task to compete with mammoth brokers that may be going after the same clients — but it can be done.

Americans over age 60 reportedly lose $28.3 billion each year to fraud. The problem may be even worse than advisors thought, a new study says.

The firm stood accused of not having policies to ensure clients' money was invested in keeping with environmental, social and governance goals.

Financial education is a team sport. That's why Morgan Stanley alum Drew Hawkins founded Edyoucore, a company that helps young sports stars take their wealth into overtime.

The asset management, custodial and technology firm made its pitch to teams confronting a consolidating field with a dizzying array of options.

While the three letters have attracted criticism from the left and the right in the past year, constructing portfolios reflecting sustainable values is still in demand.

Experts from UBS and TBH Advisors share what to watch this year, as college sports seasons get underway.

It may not happen anytime soon, but someday the Fed will reverse course. How should investors adapt?

Veteran recruiter Jodie Papike shares the questions that every independent financial advisor should ask before joining an OSJ.