Practice and client management

Advisors and other leaders in the profession have a unique window into what "wealth" really means. Here's how they defined it.

The federal banking regulator agrees that the former employees' claims against the failed regional bank don't belong in FINRA arbitration.

A dial of destiny, not a temple of doom, awaits financial planners who face AI-enabled wealthtech head-on.

The once-discraced firm has benefited from the recent strong rallly in cryptocurrencies.

Arbitration panels and courts have already shown openness to arguments that deferred compensation is protected under federal retirement law.

The disturbing nature of the claims and puzzling sequence of events add a fraught layer to what was already going to be a challenging CEO handoff from the founder.

Sixteen advisors argue the megabank owes them more than $270 million over false promises they were made when being recruited.

Executives at the Zurich-based bank say $27B in net new assets for the first quarter put the firm well on its way to its wealth management goals.

The advisory landscape is shifting as robo advisors are trending out, thanks to AI as the "next big thing" in wealth management. But that doesn't mean AI will make robo advisors obsolete.

Broker-dealers and RIAs must wean themselves off the richest clients; help getting out of the HNW tunnel-vision habit can come from future-focused marketers.

As one of many providers of the existing and expanding capabilities, Envestnet is urging more financial advisors to consider after-tax optimization.

Industry experts who track comings and goings at large firms say the advisor staff figures often obscure more than they reveal.

In a Q&A with tech innovator Dani Fava, the new chief strategy officer for Carson Group explains where the rapidly growing firm is headed next, and the importance of using AI as a time saver.

When a small company holds a life insurance policy, estate planning gets complicated — which is why assigning it to an individual or a family may be the better choice.

Nearly one out of three advisors at independent broker-dealers has thought about going solo in the past year, a new survey finds.

Raymond James' outgoing CEO Paul Reilly and incoming CEO Paul Shoukry talk on their long-term strategy that led to growth, challenges ahead with PE buyouts and an $800M technology budget.

The general categories represent a starting point for RIAs that may be trying to figure out how they fit into a buyer's long-term plans, a Datos Insights study says.

The banking giant has already settled two other similar disputes with regulators.

The self-regulator has stressed a shift away from mere compliance and toward active self-surveillance to uncover improper off-channel messaging.

Here's what advisors at the $2 million production level can expect to earn at large and regional firms