Practice and client management

The regional firm, whose parent is the 10th largest bank in the world by market capitalization, is eager to pitch top advisors seeking stability. At the same time, it's ramping up a major branding campaign with Major League Soccer and Apple to woo next-generation clients.

Plus, SmartAsset Acquires DeftSales, Snappy Kraken Announces Collaboration with Morningstar and Skience unveils strategic planning for firms.

Wealth management lifted the firm's bottom line, as the unit's revenues rose 11% over the past year and it hauled in assets across multiple channels.

The advisor, firm founder and fintech CEO puts acting with a true sense of purpose at the heart of both his life philosophy and his business ethos philosophy. To make the industry better, he encourages fellow advisors to do the same.

Regulators accused the investment tech company of costing customers millions of dollars by not reducing their capital gains liability.

Though revenue growth remains a challenge, Citigroup is still committed to its global wealth management expansion plan, CEO Jane Fraser said Friday. Andy Sieg is joining the bank from Merrill Lynch in September as head of global wealth management.

As familiar faces maintain top positions on the list, the annual analysis suggests that digital advice is falling short of what investors want due to lack of client understanding.

Four forms in particular contain insights to a client's financial life and how to serve them better. We explain them here.

The SEC is moving forward with regulations that broker advocates argue could make it nearly impossible to have online complaints purged.

A young New Yorker has invested in both American and international index funds. How much should he put into each?

The revisions come two weeks after the broker-dealer regulator made changes to a rule to loosen in-house inspection requirements for residential offices.

In setting up a breakaway firm, a group of advisors tried not to step over lines when recruiting colleagues and clients. But a lawsuit argues they still went too far.

Most working Americans think they'll need more than $1 million to retire comfortably, research shows. But their actual savings are nowhere near that.

The line between independent firms and wirehouses is beginning to blur, causing advisors to rethink their options, writes recruiter Louis Diamond.

The leader of the industry marketing firm talks about what sets top performers apart and how to avoid undermining a client relationship.

Even though there's not a way to predict who might face the next wave of layoffs, advisors can help clients prepare their finances.

The midsize wealth management firm with 250 advisors chose to be an independent subsidiary rather than folding into a private equity firm or an RIA aggregator.

Giving serious thought to plan benefits and costs early on will attract top talent and establish a workplace where employees know their personal well-being is valued.

More than 41% of U.S. workers drain their retirement savings when they quit or get fired, according to a new study. Why?