Wealth management

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

Cetera also names the next president of its wealth management division and Corient scoops up a $7.9 billion RIA in Maine.

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

ESG and like investments have come under fire, but a US SIF report seems to see some positivity in the sector despite concerns about greenwashing and greenhushing.

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

While at Schwab, Roberto Ortega worked with clients whose accounts held more than $1.5 billion. A lawsuit seeks to bar him from soliciting their business for his new employer.

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.

The funds, although unlikely to be profitable on their own, are seen as a way to find clients for other services offered by Morgan Stanley.

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

The standard-setting group is mulling increasing continuing education requirements and requiring that CFP aspirants have certain types of financial planning-related experiences, among other changes.

Jordan Hutchison, vice president of technology and operations at RFG Advisory, helps support 69 advisory teams nationwide, which manages almost $5.5 billion in assets.

From cryptocurrency to Medicare, 2025 is likely to be a year of change. Here's what nine experts are forecasting.

Trust, or the lack thereof, was one of the overarching themes of artificial intelligence in the wealth management industry this year.

Betterment at Work surveyed 1,000 employees about how confident or anxious they're feeling about their financial futures.

Leverage Shares on Friday launched two funds offering juiced up returns on either Nvidia or Tesla.

The rival firms will pay for a forensic consultant to preserve evidence of transferred confidential data while they await FINRA arbitration.

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.

Homrich Berg also acquires a $6.4 billion RIA and Hightower takes a stake in an $800 million advisory practice.