Practice and client management

Firms developing new digital tools like schedulers and AI note-takers are finding that starting out simple saves time and generates adoption.

Activist shareholders targeted 449 companies with mostly large market capitalizations.

Fears — including running afoul of regulators or garnering ego-crushing reviews — have kept advisors behind the curve of an already ubiquitous marketing practice. Here's how advisors can play catch-up.

Canned content can keep clients from reaching "FinCon 1" when something like Monday's market downturn can set them on edge. Here's how to plan it.

Mutual funds are losing assets, while ETFs are gaining them. Here's a look at how a pioneering firm has adjusted to a difficult environment in recent years.

Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

Here's how financial advisors recommend helping a client who feels in danger of losing their sense of purpose or identity when entering retirement.

The planning strategies for large individual equity holdings pose tax, investment and behavioral questions for financial advisors and their customers.

The soliciations can be made only to clients who have a net worth of at least $1.5 million, high risk tolerance and the intention to invest in speculative assets.

It's important for advisors to develop a relationship with both spouses from the outset, long before an unexpected death.

From a logo inspired by a clothing decoration to a name inspired by the cosmos, learn why these eight financial services revamped their brands.

Dubbed as the "digital admin for private investments," Arch has grown rapidly this year, adding AI tools that easily summarize documents for advisors, but hasn't lost the human touch.

Financial advisors who specialize in estate planning say regular clients can learn from these messy celebrity situations.

With shares in the acquirer growing as a percentage of the consideration, the rollovers pose important practice management, tax and business implications.

Firms' practice of offering low returns on clients' uninvested cash is becoming the latest hot legal target.

A recent YouGov survey said 60% of Americans consider integrity the most important factor in their selection process.

Wells Fargo joins Morgan Stanley, Merrill and Ameriprise in facing questions over its handling of clients' uninvested cash.

The latest court dispute between the two wealth management giants issues a widespread indictment against LPL's recruiting practices.

The first phase of FINRA's pilot program for continuing remote branch inspections drew the most interest from firms with 500 representatives or more.

As a growing area of expense, the impact to budgets and financial plans merits a discussion, according to experts. Here's a mini guide to the key considerations.