Practice management

Surge Ventures has announced the launch of RegVerse, a platform focused on advancing regulatory technology by leveraging artificial intelligence to handle the compliance needs of RIAs and BDs.

The fintech founder who started his company in the fallout of the 2008 financial crisis says he wants to help financial advisors spend more time doing work that matters.

The CEO of the 10-year-old hybrid RIA sees opportunity ahead to scoop up smaller practices in a tougher environment for buyers.

A new Arizent study finds that when it comes to diversity efforts that matter, "commitment" is the key word.

LPL's employee channel has proved popular since its 2019 launch, and recently announced its first $1B team. Here's how that move happened and where Linsco goes from here.

The Wall Street giant is seeking to enforce contract clauses meant to keep former employees from working for rival firms or reaching out to clients for six months.

New research shows 26% of U.S. adults are wedged between two generations of expenses, leaving little room for their own savings.

The team, led by three experienced industry players, will work out of the Philadelphia office the Swiss banking giant opened in August.

During Nitrogen's 2023 Fearless Investing Summit, the two-time Super Bowl champ gave a keynote address on leadership and life on and off the field.

Naratil sees the new CEO as the right person to deliver on integration with Credit Suisse.

A new working academic paper cites a dearth of research about the increasingly widespread strategy and the need to consult financial advisors about it.

Consumers with more than $250,000 in assets are seeking the services at a higher rate than financial advisors are currently providing them, according to a new survey.

FINRA booted Scott Reed from the industry after he went outside his firm to raise money for a software and web development firm.

A new report on wealthy Americans' philanthropic activities shows where advisors can help women and younger investors with giving back.

Over the weekend, Congress approached and then retreated from fiscal armageddon. Wall Street's response: Whatever.

Investing in AI, working in lockstep with sales and keeping finance execs onboard will fuel profitable growth in the long term.

As college application season begins, advisors can help parents with these two important yet sometimes overlooked financial tools.

A half dozen experts shared advice for financial advisors and clients who are buying, selling or refinancing homes.

Citigroup will pay almost $2 million to settle SEC allegation that two of the bank's brokerages recommended trades to customers without appropriately mailing disclosures to them.