Practice management

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

Advisor advocates say they are beginning to look to civil courts and other FINRA alternatives to get erroneous customer complaints removed from their clients' online records.

You'd think making $1 million a year for your firm would be considered a lot. But advisors at that level last year have to bring in a bit more to maintain their take-home pay.

Michael Nathanson will replace interim chief Dan Glaser but remain the chief of The Colony Group as the RIA aggregator consolidates its ranks out of the public eye.

New financial planning questions on the accounting exam could attract more young people and encourage current practitioners to explore the burgeoning ties between the fields.

Our continued look at compensation for advisors at different revenue levels considers pay for $600,000-a-year producers.

Research shows wealth managers have much greater confidence in the new technology than their clients. Here's how to shrink the gap.

A lover of Tesla and AI technology, Orion's Brian McLaughlin warns that for most, it's still too early to trust AI to make financial predictions.

Wireshouses continue to put the squeeze on advisors at the lower end of the revenue-generation scale.

Many advisors will have to produce more this year to make the same take-home pay as last year, Financial Planning's annual analysis finds, with low producers under pressure to move up the revenue ladder or move on.