Wealth management

Rockefeller becomes the latest firm to benefit from a steady stream of advisor defections from UBS this year.

These are the stories and issues that readers gravitated to in the last year.

Angel Ayala became the subject of JPMorgan's latest suit against its former private client advisors — "two days before Christmas day when most people are spending time with family," said his lawyer.

A former Procter & Gamble engineer spent years honing his message and targeting ads to make a nearly 100% niche clientele.

Earn an hour of credit toward industry certifications by successfully completing and submitting the self-guided continuing education quiz.

A new survey from DeVoe & Co. suggests a big shift in what RIA firms need today in order to attract potential acquirers. (Hint: It's no longer just superstar advisors.)

The epic OBBBA tax law brings glad tidings to most families, but complacency can lead to costs for financial advisors and their clients.

While the term "financial supermarket" may have gone out of fashion, firms still see opportunity to boost profits and keep clients loyal by blurring the lines between banking and wealth management.

Following Liu's departure from Citi early this year, allegations arose that she had been mistreated by wealth head Andy Sieg. Citi investigated the accusations and ultimately denied them.

New research highlights a widening planning gap among childfree savers, with lagging estate and long-term care planning exposing unique risks — and opportunities for advisors.

The GENIUS and Clarity Acts and SEC guidance on custody clear a path for advisors recommending digital asset strategies, albeit with expanded diligence protocols.

Independent research firm Morningstar's latest study of the value of financial advice examines tax-efficient IRA asset location during the decumulation phase.

Also, DayMark Wealth Partners sells a minority stake to Constellation Wealth Capital.

FINRA identifies new ways firms and investors are using technology like AI to spot changes in market sentiment and asks the industry to chime in on how finfluencers and others are using social media.

The broker-dealer veteran saw her firm's revenue model as a fair trade — even a badge of honor — before going independent.

An industry lawyer warns that RIAs often don't do enough to delineate their responsibilities and shield themselves from liability when they add tax preparation to their service offerings.

From crypto to private markets to AI and beyond, here are the investing trends and themes to watch in the new year.

Founders Elissa Buie and Dave Yeske are leaving a legacy in the profession and at the firm under three successors taking over in 2026.

Charles Schwab CEO Rick Wurster, IRS CEO and Social Security Administration Commissioner Frank Bisignano and iCapital's Chief Investment Strategist Sonali Basak made the list — see who else did.

An increasingly popular form of lending enables financial advisors and their clients to offset capital gains and find other tax savings.