Wealth management

United Capital has a new name, but key challenges remain for its new owner.

The regional broker-dealer has long been among the industry’s most aggressive recruiters.

The advisors join the bank following a major reorganization of its wealth management business.

The industry’s biggest firms have grown bigger and the smaller firms have found it harder to compete on their own, the regulator found.

CEO Dan Arnold describes the firm’s tech-fueled advisor strategy.

Buyers yanked $2.9 billion from the sector in the final days of January, nearly wiping out gains so far this year, data show.

In the latest episode of Financial Planning’s new podcast series, advisor Rachel Robasciotti discusses her activism around mandatory arbitration and relates the remarkable story behind her RIA.

As the wealthy often sidestep estate taxes, one law professor offers a code change that forces heirs to pay income and payroll taxes on all inheritance.

The firm will move from a bank custodial platform to a brokerage platform in the second quarter — all while getting a radical face lift.

The move is part of a larger strategy to bring account minimums down for clients who either can't or don't want to buy entire shares of high-priced stocks.

A new platform from the World Wide Fund for Nature aims to provide a foundation for ESG-conscious investors and a list of best-practice providers.

The takeaway for other firms: Be explicit, clear and public about seeking women employees and creating a safe workplace for them.

The Wall Street giant reveals how it plans to capture a bigger share of the HNW and mass affluent markets.

Best-in-class IT management and cybersecurity protection means RIAs must also focus on their base layer — the tech stack.

While the deadly virus threatens to harm the world economy, the funds have remained popular as the Fed signals low rates for the foreseeable future.

The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.

Wealth management is playing an ever bigger role at the firm, which aims to add a million new clients in the coming years.