Wealth management

The federal regulator reopens the comment period for its rule on safeguarding client assets in response to its new auditing requirement for private funds.

The company is ditching standard account packages and will instead adopt "relationship tiers" that are based on customer's deposit and investment accounts.

Extra diligence on the advisor's end can help HNW clients avoid potentially disastrous lawsuits

Commissioner Hester Peirce warns an unintended consequence of the new regulation could be less thorough internal compliance reviews.

According to the SEC, agreements that violated the cash solicitation rule generated 66,000 new clients and $300 million in AUM for the offending firm.

The firm follows its major move to the Midwest by expanding its executive leadership team.

The third time was the charm for LPL, which failed twice to win the big team it finally recruited this month. Here's what worked this time around.

No matter how good generative artificial intelligence gets, consumers navigating the purchase of complex financial products will always demand the attention of expert human advisors.

A brokerage client's portfolio was gradually invested almost exclusively in the fund manager WisdomTree over a decade.

The marketing technology firm's new drag-and-drop tool includes AI-powered tools for headline writing, image generation and calls to action for clients.

AdvisorFinder is introducing a new AI-powered content creator for wealth managers. But the fintech's founder says advisor expertise will be needed to tap into its true potential.

One provision of the six-part package applies to all registered advisory firms, and compliance experts say the guidelines could prove costly for smaller companies.

The private equity-backed consolidator led by Peter Mallouk opened a new unit after acquiring a different Twin Cities-area firm earlier this summer.

It's a good time for savvy financial firms to scan for the right teams to onboard.

A new survey from Prudential highlights the needs for a strategy change among the next group in line to leave the workforce.

In today's uneven economy, workers are pressing for better benefits, a new Arizent study shows. Here's what clients may ask about.

Titan Global Capital Management was charged with using misleading metrics in its advertising for more than a year.

Reducing financial stress can drive employee engagement and productivity.

The move comes as LPL boasts hefty profit gains in earnings and Kestra struggles with debt.

A sale of the business bought four years ago would undo another part of CEO David Solomon's ill-fated move into managing money for a wider array of clients.