Wealth management

Industry watchdogs worry lenders may be hiding troubled loans and are too entagled with insurance interests.

The Chicago-based RIA giant is taking majority ownership in NEPC, a firm offering institutional research and new investing opportunities.

The industry watchdog continues its recently adopted practice of giving firms monthslong advance warning of its examination priorities before the start of the new year.

A recent survey of 280 financial advisors from the online estate platform Trust & Will found that while almost all believed in encouraging estate plans, many had yet to develop their own.

Financial Planning's annual awards honor advisor employees at both large and regional firms.

LPL Financial also pulls advisors from Raymond James, and Raymond James draws from Merrill. Osaic meanwhile appoints a chief financial officer.

In court response, LPL warns victory for Ameriprise would "chill" advisors' ability to move from one independent broker-dealer to another.

Robinhood is also planning to offer a browser-based trading system similar to products from Interactive Brokers Group and Charles Schwab

As CAIS launched a new advisory firm to simplify alternative investments for financial advisors and their clients, experts at the firm's summit discussed how to get clients more comfortable with the asset class.

Independent advisors will not be 'left behind' for refusing to adopt AI, argue tech-forward leaders and XYPN co-founders Michael Kitces and Alan Moore.

Even as the firm puts pressure on lower-end advisors, it's making it easier for its top wealth managers to earn growth rewards.

Financial advisors weigh in on how they assist clients with this issue, especially if they have large holdings in their employer's stock.

The largest deal ever for the private equity-backed, fee-only RIA will send it to new heights across 23 offices and 750 financial advisors and other employees.

Prenuptial agreements can protect not only the divorcing party but also their parents, children and estate plans.

Jane Fraser and other Citi execs point to the wealth unit's 9% bump in revenue and 24% increase in investment assets as signs that the firm's recent overhaul is working.

Merrill and Bank of America Private Bank report starting 5,500 new client relationships in the third quarter, more than a third of which came through recent graduates of its training program.

The firm reported $90.8 billion of total net new assets in the quarter, an 88% increase on the same period a year ago.

The week also saw BlackRock, JPMorgan Asset Management and Charles Schwab take minority stakes in the advisory-support firm Dynasty.

The chief financial planning nerd sees AI solutions that can significantly help financial advisors. But there are also overpromises, he said at ADVISE AI.

The giant universities that have their own investment arms are likely out of reach, but they represent only a small portion of the rapidly growing channel.