Practice and client management

The co-founders of the influential service, technology and compliance firm for fee-only RIAs discussed how the firm is evolving — but also staying the same.

An updated, funded buy-sell agreement can allow a surviving partner to maintain sole control of the business if one of the owners or partners were to die prematurely or become disabled.

Independent broker-dealers have found happy acquiring grounds in the insurance industry in recent years, as sellers seek to avoid heavy regulation and thinner margins.

In its second year ever and first as a standalone event, the co-founders of a conference for Latino wealth management professionals share what to expect.

End-to-end meeting manager GReminders is using AI to streamline all the other AI meeting tools, like Calendly and Fireflies.ai, under one roof to make life easier for advisors.

The CFP Board of Standards' new "Quite Possibly the Perfect Job" digital campaign targets college and college-bound high school students. Many professionals felt the ads, which depict young people doing anything but working, "missed the mark."

The advisor at the center of the case, Chuck Roberts, has been the subject of at least 19 customer complaints since late 2022.

Marriage, government and employee benefits, and mental health often loom large for a base of clients that is more likely than straight peers to live alone.

U.S. Bank Wealth Survey reveals 76% of parents would rather talk to their children about their choice of candidate, than their finances, at 63%.

A new Schwab Advisor Survey found AI is largely being used in back-office functions rather than consumer-facing, as adoption slowly takes hold.

Manish Dave, who has been with the firm for 18 years, oversaw a headcount that was formidable but stagnant in recent years.

Industry experts and analysts take comfort in the firm's choice of Rich Steinmeier as interim CEO and say they see little reason to expect serious disruption.

The technology could change the way many financial advisors interact with their clients, but that evolution will come with important questions, an expert says.

Planners Carolyn McClanahan and Dana Anspach discuss how the client expenses work for their advisory practices as more firms rethink their approach.

The burgeoning "after loss" industry has the potential to differentiate RIAs from the competition as it fills a service gap in advisory practices, writes one of its pioneers.

The second annual Private Business Owners Survey by Brown Brothers Harriman found that over one-third of private business owners said their family's values are different from those of the family business.

LPL directors terminated CEO Dan Arnold's employment after an outside law firm found comments he had made to employees had violated the firm's code of conduct.

Financial advisors may have varying levels of familiarity with these areas of services, but experts provided a blueprint on how to focus this key planning discussion.

The change, one among several at the firm's top, follows on a year that executives have deemed one of the firm's most difficult in decades.

J.P. Morgan Asset Management's automated tax services platform, 55ip, has rapidly expanded with partners including BlackRock, Fidelity and Raymond James Financial as demand to manage client taxes accelerates.