Wealth management

Every independent RIA has unique access to one niche: the prospects in their own ZIP code. Smart advisors can turn that information into a community-based customer pool.

After years of strong market returns, concern over stretched equity valuations is rising. Could a long-overlooked options strategy be the right tool for the moment?

The integration eliminates the need for a third-party intermediary between the two platforms, allowing for a direct connection between financial planning and tax, estate and insurance data.

The printable PDF includes rankings based on the firms' AUM as well as statistics on each firm's employees, client accounts and financial advisors.

Fiduciary laws trace their roots to ancient times, but the terms of the Investment Company Act of 1940 and the Investment Advisers Act are still evolving today.

A Schroder's expert says new data speaks volumes about the importance of building a solid nest egg before leaving the workforce.

Findings from iterations of Financial Planning's Financial Advisory Confidence Outlook show which assets have stood the test of time.

Advisors and experts say finding the right rare currency to invest in can add diversification to a portfolio. But scams are rampant, so buyers should beware.

The implications to taxes, hiring and the very legacy of a financial advisor's career demand much more formal documentation than most RIAs have undertaken, experts say.

The Munster Freeman Group will add to Wells Fargo's offerings for wealthy and ultrawealthy clients with offices in the Los Angeles area, Arizona and Colorado.

A growing number of RIAs are offering one-time, flat-fee advisory services as part of a broader embrace of advice-only planning. But not all advisors are sold.

Dueling announcements Friday show that UBS is still struggling with advisor retention even as it brings in a new executive to oversee its recruiting efforts.

One-third of financial advisors say balancing personalization with growth is the hardest trade-off for them to manage. Doing so successfully means making hard choices about what's most important for clients and the business.

RBC pulls $1.2B and $705M teams from rivals, Merrill gets a $420M duo, and several large M&A deals close.

Scary good voice cloning technology means advisors can no longer believe what — or more accurately, who — they're hearing on the phone. Rigorous verification protocols are the new key to gaining client trust.

Minority transactions are increasingly appealing to sellers who are wary of giving up the full control of their firms. But experts say the deals do come with strings.

The Wall Street mainstay joins JPMorgan and Citi in directing analysts to help give investors more insight into companies not traded on public markets.

The Couch Group's return to Morgan Stanley is the latest evidence that UBS hasn't been able to stop the recent wave of advisor departures.

Transitioning from military to civilian life has its own challenges, but these veterans used their backgrounds to their advantage in their new lives as financial advisors.

Edward Jones added $17B in net new assets despite a sharp slowdown in new client households, reflecting a focus on high net worth clients and specialized services.