Wealth management

Shannon Pike will concentrate on bridging adviser communities.

The regulator plans to ramp up scrutiny of bad brokers and electronic communications, among other new measures.

That's just one solution among several that will help prepare your firm for success now and in the future, columnist Bob Veres says.

Exclusive: Advice Period, the newest RIA platform model, offers star power and IBD qualities. Is it enough?

Financial Planning’s 6th annual RIA Leaders ranking revealed a startling trend.

The new exec will advise wealthy individuals and families on tax and estate planning, investing, private banking, financial reporting and fiduciary services.

One of the major aims of asset allocation is to craft a portfolio with ingredients that don’t all behave in exactly the same way to protect against all assets heading south at the same time. But, of course, that downside protection can be a double-edged sword.

Advisers will create strategies and communicate the advice. Software will handle the execution and maintenance of the strategies.

With a deep résumé representing Wall Street firms, Jay Clayton is seen as a business-friendly choice not expected to push major new regulations or ramp up RIA exams.

High-value targets include client names and account numbers. Protecting the information can also protect an advisory practice from regulatory penalties.

The new recruit, who started with the wirehouse's predecessor firm Smith Barney, has been in the industry since the late 1990s.

Here's how clients can get around income limits and continue making contributions. Plus, tips for updating a client's financial plan now and dramatically increasing wealth after the IRS gets paid.

The expansion of hybrid platforms and bank digital advice promises big changes and fierce competition in automated wealth management.

Women need help in investing, and new niche robo advisers are providing a means to achieving financial confidence.

Black employees at the firm say lucrative client accounts were often steered toward financial advisers who weren’t black.

Having lost AUM over the past year, advisers are investing time and resources in new engines of growth.

On Wall Street's editors have compiled the raw data behind the latest annual ranking. Here's their take on what to expect before the unveiling of this newest group of elite, young advisers.

Why advisers should use age-banding to plan for retirees’ spending levels to flex and adjust.

But to get to where bulls think earnings are going, the economy would have to pull off a feat of strength that is unprecedented since at least 1937.