Practice management

AI-driven faux-emotional chatbots pose existential questions about the future of human financial advisors.

Industry watchdogs stayed busy trying to root out elder fraud and off-channel communications while plaintiffs lawyers' questioned firms' sweeps policies and regulators' basic authority.

Blending CPAs and CFPs into a team larger than the sum of its parts requires meticulous planning and client education.

Here's a roundup of tax-related news and insights on politics, practice management, investment strategies, health savings accounts, estate planning and more.

By effectively redesigning their websites, firms can target prospects who may already be searching for the services they provide.

Independent firms are going beyond traditional wirehouse compensation packages to promote collective partnership and reward incoming teams.

Jefferies was among a group of firms cited by the SEC in its recent sweeping investigations into illegal "off channel" communications.

Regulators accused UBS of not doing enough to monitor 22 brokers who generated commissions and sales concessions of syndicate preferred stocks.

The asset sales carry complexity requiring careful thought and expert advice, but they could prove beneficial to some wirehouse breakaways or RIA succession plans.

In time for the season of giving, the new functionality allows those on the philanthropic planning platform to encourage others to join them in supporting causes they care about.

A former veteran UK-based planner and a behavioral analysis expert penned a practical guide for financial advisors on implementing "EI" into their practices.

Mentors encourage and inspire — sponsors take action to speed women's way up the leadership pipeline.

Health issues. Death. Politics. Some topics make for uncomfortable conversations, but financial advisors need to have them anyway.

The case stems from Raymond James' recruitment of the $2.8 billion Wise Advisor Group from Baird, which also landed a penalty for a broker protocol violation.

The deadline is fast approaching for brokerages to register home offices for employees performing supervisory functions.

Here's a look at the lighter side of financial advising, from bizarre complaints to parking lot fraudsters.

Cerulli Associates reports that retail direct investor platforms grew faster than all other distribution channels from 2022 to 2023, while wirehouses have lost ground.

Amplified Planning is expanding beyond the Externship into a new four-month course and a monthly subscription service for outsourced professional development.

Scott Burnett and Peter Kelson, formerly of Zions Direct, plan to work mainly with public entities, corporations, foundations and endowments.

Experts say financial advisors and wealth management professionals can do a lot of good — and advance their businesses — by promoting financial literacy.