Wealth management

Swiss banking giant UBS Group received federal approval from the Office of the Comptroller of the Currency to convert its $1.6 trillion-asset UBS Bank USA from a Utah-chartered industrial bank to a national charter.

Women often feel talked down to when it comes to financial matters. Advisors with experience serving women clients say the industry has a lot of work to do to change this.

The unit will now be renamed Threadline Wealth, backed by investment from the Cynosure Group, and have $5.8 billion in client assets under management

The National Legal and Policy Center has successfully urged companies like Goldman Sachs and American Express to remove DEI from their board selection process, but now it argues that SEC actions are restricting shareholder rights too much.

Andrea Bethune contends in federal court that Carson Group moved her into a new role to make way for a woman 20 years her junior. Eventually, her position was eliminated.

Wealth management firms are beginning to push AI beyond back-office use and toward growth, panelists at Future Proof Citywide said. Success depends on a thoughtful approach and clean data.

The latest study tracking financial advisor movement from research firm Cerulli Associates suggests that employee brokerages must change with the times.

Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.

Not all tech integrations are created equally. Industry experts discussed what advisors should focus on when evaluating potential additions to their tech stacks.

Authenticity and judgment will emerge as differentiators for financial advisors as AI tools reduce the cost of early-stage analysis.

A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract from — the value of an RIA.

The RIA technology platform builds on its acquisition of AI-powered liability-optimization fintech Sora Finance last year.

Federal Judge David Nye sides with a broker fired over five years ago for placing trades without first obtaining his client's permission.

Many business owners wind up regretting how they exit from their ownership. That's why experts say financial advisors should ramp up their planning for it.

Penny Pennington has presided over a wide-ranging overhaul that has seen forays into alternative assets and banking but also heightened rates of advisor departures.

Libretto, Syntax Data, Advyzon, Kwanti and the Oasis Group were among the major players at the annual conference that announced new and upcoming AI advancements.

Dynasty accuses Merrill of acting in distorting the court record in its attempt to force a dispute over a giant breakaway team before FINRA arbitrators.

Friday the 13th is considered an unlucky day — this year has three. We asked advisors to share their scariest stories of client mistakes.

At the T3 Conference, leaders discussed how showcasing the value of the new tools can help advisors connect with clients.