Wealth management

Effective strategies depend on attention to ever-changing laws and to the clients' personal circumstances.

Lehman & DeRafelo offers another example of a big RIA seeking a larger partner despite turbulent economic conditions and some signs of an M&A slowdown.

The line between independent firms and wirehouses is beginning to blur, causing advisors to rethink their options, writes recruiter Louis Diamond.

The move comes as First Republic's struggles in the banking crisis have driven many high-profile advisors to leave, creating an opening for others to poach.

The leader of the industry marketing firm talks about what sets top performers apart and how to avoid undermining a client relationship.

Even though there's not a way to predict who might face the next wave of layoffs, advisors can help clients prepare their finances.

The firm will compete against a growing group of rivals, but its founders expect to attract a billion-dollar advisory firm by the end of the year.

No one knows how advisory firms should best leverage budding metaverse technology. And experts say if someone suggests otherwise, their confidence is likely virtual.

Giving serious thought to plan benefits and costs early on will attract top talent and establish a workplace where employees know their personal well-being is valued.

This year's conference features sessions centered around improving the client experience, future proofing your business and understanding the regulatory environment.

The action comes as the SEC plans heightened scrutiny of advisor disclosures and activity, and serves as a reminder to stay on top of the basics.

Plus, Savvy Wealth launches a direct indexing tool, AssetMark adds experience to its roster and Asset-Map teams up with Morningstar.

The firm blamed a coding error from a trading software it upgraded at the time. FINRA took nearly eight years to discipline Goldman for the problem, which allegedly began in 2015.

UBS has traded steady progress on a low-risk strategy for a political spotlight, years of integration efforts and tens of thousands of job cuts in buying Credit Suisse. Will it pay off?

The second generation financial advisor turned fintech founder wants to help advisors get more personal with their clients.

The fintech leaders said standing out in wealth management is all about finding your firm's "secret sauce."

Millennial investors across wealth segments are beginning to work with advisors at a much earlier age than prior generations did, a new Ameriprise study shows. Here's why, and what advisors can do about it.

The West Coast native and industry veteran talks keeping firm culture strong in a remote world.

The $2.4 billion request for the Wall Street regulator would put 1,434 officers on the compliance beat, up 4% from seven years ago.

This tax-code authorized technique allows clients to remove a personal residence from their estate at a significantly reduced gift tax cost.