Practice management

Global banks including UBS and Barclays have been expanding teams that serve some of their richest clients.

Commission officials put the industry on notice about self-reporting: financial advisors must comply or face harsh punishments.

Offering specialized planning is now essential to attract and retain HNW clients.

The wirehouse is charting a litigious course since breaking with the Broker Protocol, and some observers think the scorched-earth campaign could harm its reputation.

Spanning 50 federal districts, the case involves criminal and civil charges for as many as 200 defendants.

Focus Financial adds a $4 billion wealth management firm to its expanding roster.

One recruiter argues the firm is losing talent because it will eventually exit the Broker Protocol.

At Merrill "it felt like we shifted away a little bit in recent years from the core focus of wealth management," advisor Matthew Spradlin explains.

Strengthened legal language recently added to bonus agreements will be removed, according to people familiar with the matter.

Planner Matthew Boersen used youth to his advantage in appealing to older clients.

Compliance expert Alan J. Foxman explains why a 1035 exchange might trigger increased scrutiny.

Black History Month is a reminder that effort is required for racial progress.

The RIA boosts its platform, loses top execs and faces wary advisors.

Over time, many couples end up in increasingly unequal roles when it comes to managing their money, simply because one partner defers to another, according to an expert at the CFP Board's Academic Research Colloquium.

The move could help the firm block former advisors from contacting clients.

An advisor who is a former ballplayer set ambitious goals for 2021 with an alternate take on the hybrid strategy.

Finance professor Tom Warschauer calls on the academic research community to improve communication and further understanding of clients' behavior.

The Raymond James affiliated firm has been aggressively recruiting from wirehouses in recent months.

“Serving the investment needs and opportunities unique to clients who reside outside of the U.S. has become increasingly complex,” the firm said.

Artificial intelligence, digital privacy, health care and geopolitics will impact clients in "deeply personal" ways in the next decade. For advisors, that’s a huge opportunity.