Practice and client management

The independent broker-dealer giant contends in court that a federal judge went too far in telling a pair of its advisors that they couldn't reach out to clients they had while at TD Bank.

Homeownership among Asian American and Pacific Islanders is at an all-time high, but they face unique obstacles that financial planners must take into account.

One year after it bought First Republic Bank, the largest U.S. bank by assets is launching J.P. Morgan Private Client, a new tier in its affluent-consumer services that brings together JPMorgan's brand with First Republic's concierge model.

Executives at the megabank's annual Investor Day say artificial intelligence is already saving time by preventing advisors from "hunting and pecking" for market research.

Changes in residency, qualified personal residence trusts and other methods cited by experts carry big savings — with some caveats.

With RIAs increasingly identifying succession planning as a business imperative, here's how financial advisors and firms are investing in the future.

A professional brings objectivity to dicey conversations between relatives as well as experience navigating the substantial work involved with transferring assets, experts say.

More advisor contact can boost client trust and satisfaction. That's key in a landscape where 75% of clients considered switching, or switched, advisors in 2023, a YCharts survey shows.

Brokerages and industry lawyers say the conduct standard's key provision is its requirement that advisors consider alternatives to risky and expensive investments.

Proposals to crack down on private placement insurance contracts aren't close to becoming law. Here's how advisors and their clients can use them for the time being.

The ban comes amid heightened regulatory scrutiny of firms' messages on services like WhatsApp and posts on social media sites.

Women see and understand the research underscoring the benefits of diversity in leadership and want to align their investment dollars with this approach.

Wealth managers often plan as if their clients will live to age 95 — but few Americans do. New research suggests a different approach.

Most advisors said they see AI helping streamline internal workflow functions, but very few trust it to make financial decisions.

Advisors are faced with cutting-edge tech that will reshape the industry, as well as questions about its reliability.

A newly proposed rule would require firms to verify customers' ID information and check it against government lists of terrorists and criminals.

There's a difference between advising a client on a decision and making the decision for them. What happens when the client demands the latter?

The mammoth coup far outpaces other recruiting deals of recent memory.

Despite the apparent decline, the independent broker-dealer giant remains one of the leaders in advisor recruiting and merger and acquisition deals.

The plan comes as part of CEO Ermotti's goal of narrowing the distance between his firm and its U.S. wealth management rivals.