Practice management

The firm characterizes the cause examination, a procedure that typically originates from a customer complaint, as a routine matter.

Advisor and women in wealth advocate Cary Carbonaro charts her struggle for respect and pay parity after a buyout by a big investment bank.

Financial planners who take their customers through a difficult calculation can add a lot of value that may sometimes get overlooked in the profession, one expert said.

Experts say it's not just about cold, hard numbers. Knowing client expectations can also make or break any potential deal.

A judge found that the alleged victims of a scam run by a now-disgraced representative of Oppenheimer furnished no evidence of having direct ties to the firm.

President Donald Trump's back-and-forth tariff plays have some advisors worried they are ill equipped to handle more swings, per new Financial Planning data.

A disjointed response, a lack of an agreed definition and unreliable statistics on losses hinder antifraud efforts by the government and industry, the GAO says.

A review of broker pay data reveals surprising trends in how top firms reward their brokers.

Most successful firms outgrow their business model. Knowing exactly when to pull the switch can be tricky.

In our final installment on broker compensation in 2025, learn which firms are paying advisors with $2 million in annual revenue the most.

The headache of filing dozens of state or international returns due to the so-called jock tax comes with opportunities to tap into savings, experts say.

See which firms are paying advisors with $1 million in annual revenue the most.

RIAs with $4 billion to $10 billion in AUM can turn their size to their advantage by strategically adopting tech products and processes.

UBS and Janney Montgomery Scott both made changes to compensation for advisors producing at the $600,000 level.

UBS and RBC lowered their payout rates for advisors on the low end of the revenue production scale.

Market turmoil is likely to weigh on many advisors' take-home pay this year. Couple that with changes some firms have made to their compensation grids, and some advisors are in for a double whammy.

The Treasury and IRS plan to withdraw regulations that labeled basis-shifting transactions among partnerships and related parties as "transactions of interest."

The choice of brokerage or RIA firm involves any number of factors and a range of timelines. Here's what the numbers and experts suggest are the main drivers.

Lack of communication about estate plans and the reasons behind them is sure to cause static among client families down the line.

The pros and cons of giving discounted or free financial advice to those close to you.