Wealth management

They must file the lengthy and highly specific Form ADV document with the SEC and state-level agencies. And that's just one aspect of the many strategic decisions.

Industry experts say there's theoretically no reason why firms can't keep getting bigger through recruiting deals. But a lack of good M&A prospects could make growth harder for LPL and other independent broker-dealers.

Wealth.com has built a client roster of more than 1,000 wealth management firms and several big-name backers. Now it's launching a yearly industry event.

A unique mutual fund type is gaining ground with advisors, according to the FPA's newest survey. Advisors say the data points to a broader trend of planners shifting away from investment management.

By far the most significant factor behind the jump in this month's Financial Advisor Confidence Outlook (FACO) was the outlook for the overall economy.

Finding the right time to launch a registered investment advisory firm and the importance of building lasting client connections all play into advisor success.

LPL Financial also pulls an advisory team from RBC, and Cetera hires a chief fiduciary officer for its trust subsidiary.

Retired investor Tracy Driver alleges he was encouraged to put millions into a now delisted media company and then lost more through unauthorized sales of "prized" shares in Nvidia, Microsoft and Alphabet.

Jane Buffett claimed in a court filing Tuesday that she's been told by her co-trustee that she's to receive less than $2 million annually,

The firm is allocating as much of 20% of clients' portfolios to private credit, a market it was even in three years ago.

A recent report by Cerulli found that more than one-third of affluent investors said they prefer fee-based planning. But advisors on the ground say clients are often confused about fee-related labels and need help understanding pricing models.

This comes as the latest move by U.S. banks into the crypto industry after President Trump began removing regulatory barriers.

The program to coach Division I players on wealth management concepts comes as they navigate new layers of complexity from new sources of potential pay.

Upgraded features include AI-driven estate document analysis, a redesigned questionnaire-driven workflow and observations categorized by analysis and guidance, among others.

Experts say that there are pitfalls, rules and procedures that departing financial advisors should know. Problem is, too many act first and consult lawyers later.

The transition challenges were great, writes Kimberly Foss; the ultimate rewards for her and her clients, even greater.

A TIAA Institute survey found that the average U.S. adult cannot answer a majority of retirement-related questions. Financial advisors say that's a problem.

Paul Algreen, the executive managing director and chief technology officer at Cresset Capital in Chicago, took the opportunity to turn the firm's tech stack from a "blank slate" to the scaling juggernaut it is.

The dome of the U.S. Capitol Building in Washington, D.C., is reflected upside down in a puddle outside of the structure

UBS continues to lose larger advisory teams after making changes to compensation policies last year. Meanwhile, Ashton Thomas and LPL both score advisory teams.