Wealth management

The settlement would apply to advisors who participated in the firm’s deferred-compensation plan from February 2011 through January 2020.

Compensation is critical — and keeps climbing — as 76% of RIAs say they plan to poach advisors from other firms.

They’re more expensive than their passive peers. But did they beat their benchmarks?

Faced with the retention risk from the RIA-only channel, firms are trying to alter their company cultures and questioning traditional approaches.

Companies that scored highest in this year’s Best Fintechs to Work For (a ranking compiled by our parent company, Arizent) go beyond the basics of strong pay packages, generous benefits and effective leadership to take a more holistic interest in their employees’ lives, according to the data.

Metrics and strategy are key at YCharts. So are mystery-flavored Oreos.

I don't need outside credentials to bolster my credibility — I have my own.

Whether it’s AI managing regulations or nextgen tools acting as data scientists, executives say tech will change how asset managers work.

The investing world is rushing to cater people who want to make a difference with their money but are unwilling to accept higher volatility or fees.

The recent moves display the stakes of the competitive recruiting fight, which has led to firms like AmeriFlex seeking to give advisors greater flexibility and resources.

"Since no one has a crystal ball to predict what will happen, I advise saving money on both sides of the tax fence," an expert says.

United Capital has a new name, but key challenges remain for its new owner.

The regional broker-dealer has long been among the industry’s most aggressive recruiters.

The advisors join the bank following a major reorganization of its wealth management business.

The industry’s biggest firms have grown bigger and the smaller firms have found it harder to compete on their own, the regulator found.