Wealth management

The pair was drawn to the firm’s “similarly aligned” culture.

As a result of the violations, the firm created deficits in foreign and domestic securities valued at hundreds of millions of dollars, FINRA alleged.

The impact of commoditization, fee compression and consolidation on RIAs in 2018 cannot be understated.

Large wealth managers and banks will spend more on blockchain and AI in the coming year, and appear willing to explore new technology partnerships.

What the next generation of tech innovation means for planners.

Alan J. Foxman looks into his crystal ball and predicts authorities will focus on these key areas.

Financial planners report wide demand to learn how to exploit changes in the tax code.

Kestra Financial’s James Poer offers advisors his three predictions for the new year.

The deal marks the largest acquisition for the firm year to date.

The No. 20 IBD unveiled a total of 15 practices joining its ranks in the fourth quarter.

Personal exemptions may be lost but households can expect higher savings from the child tax credit, an advisor says.

Record-high stocks, growing geopolitical risk. Is our current market becoming eerily similar to 1972?

There’s a powerful source of income hiding in your client’s home.

Advisors should not overlook client savings accounts as idle funds.

Geography, occupation and family size will determine whether the bill helps or hurts.

“My clients are hard-working young professionals on Wall Street. I don’t have a lot of good news for them,” said Douglas Boneparth, an advisor in New York who counsels people throughout the industry.

When giving cash gifts to grandchildren this holiday season, clients have options that can also help minimize their estate taxes in the future.

The Landmark Group ditched the large firm for Fieldpoint Private, a boutique firm with 28 advisors.

The widow argued that her advisor failed to confer with her about the investment strategy he and her late husband developed prior to her husband's sudden death.

Advisors are jumping to firms with established infrastructure.