Practice and client management

A pair of wealth managers stand accused of allocating trading gains to themselves and losses to their clients in a way that had "nearly zero" chance of happening at random.

A recent UBS Investor Watch report highlights a deeply divided country in which many view the economy as the main issue this election season.

Financial advisors can delight their newest customers by steering them away from the typical traps, deploying new strategies and using technology, experts said.

Whether boutique, midsize, regional or national, each RIA asset level requires distinct strategies and significant sacrifices.

Top innovators at Microsoft, Salesforce, FP Alpha and more, will speak on where AI is headed in wealth management at Financial Planning's ADVISE AI conference next month.

Merrill and a partner firm were accused of running a complicated yield enhancement strategy, or CYES plan, of the type that has long been in regulators' crosshairs.

A pair of SEC commissioners say the treatment of the brokerage firm Qatalyst shows industry watchdogs expect nothing short of perfection with regulatory matters.

Financial advisors' jobs won't be eliminated by AI, but their roles are rapidly evolving to keep up with new client demands and oversee new tech to prevent hallucinations.

Here are some of the key takeaways from a sampling of the many substantive discussions at Huntington Beach last week.

These seven financial advisors — career changers, innovators and community leaders — are changing wealth management. Here are their stories.

Best practices for each option can make the difference between success and stagnation in a growing advisory firm.

PureFacts Financial, a revenue management platform for wealth managers, is diving deeper into AI tools to help detect revenue streams beyond the typical fee-based structure.

Four financial advisors and other experts speaking at last week's Future Proof conference shed light on the intersection of the wealth and accounting fields.

Most firms are limited liability corporations these days, but a significant chunk of older firms are c-corporations. Experts share the key factors involved with the options.

These two demographics are expanding their wealth and savings, despite economic challenges that cut across their age groups.

Cloud-based, password-protected accounts are becoming increasingly important for advisors to discuss with clients during the planning process.

Today's clients are looking for planners who stand out online as they try to make sense of newly available information and tools, according to two expert panels.

Mark Matson aims to help people define and realize their goals by making "academic investing principles accessible to everyday investors," he said.

Clients must understand that having too much of their portfolios allocated in cash can mean lower returns over time.

Regulators allege First Horizon Advisors violated Reg BI when it continued recommending complex investments even though it was struggling to bring over customer information from a recent acquisition.