The California DFPI restated existing annual filing and financial reporting obligations for California-registered investment advisors, regarding registration, financials and audits.
FINRA will discontinue its current practice of reviewing firms’ draft customer letters that use “negative consent” to effect bulk transfers
What’s the real reason clients switch advisors? Todd Bryant, CFP®, shares how 18 thoughtful touchpoints a year can quietly build trust, loyalty, and confidence.
Kathy Ruemmler will leave the Wall Street bank in the summer as newly released documents detail her past contacts with the disgraced financier.
UBS has a history of costly litigation stemming from the sale of volatile investment products.
New 9.9% levy on income above $1 million would layer onto capital gains and payroll taxes, reshaping Washington’s appeal for tech workers and business owners.
CFO ousted, auditor's opinion in question, and investors want answers.
Even the most technically flawless financial plan can fail—because markets aren’t the real wildcard. Behavior is. As growth pressures rise, advisors are rethinking traditional planning models to better reflect how clients actually make financial decisions.
Also, Raymond James onboards another Commonwealth team in Wisconsin, while an experienced duo from Ameriprise hops to LPL.
LIMRA data show 2025 annuity sales topping $460 billion as RILAs, FIAs, and fixed-rate deferred products drive growth.
Altruist’s Hazel AI platform may have sent shockwaves through the industry this week, but fintechs say face-to-face interactions with advisors remain key.
US asset manager buying the UK-based firm is one of the largest cross-border deals in active asset management in recent years.
CEOs anticipate solid revenue, profitability and productivity gains for 2026 with AI returns outpacing forecasts.
Robinhood is bundling tax, estate planning and CFP support through third-party providers Vanilla and Taxfyle. "It’s a great strategic offering to start to change the mindset of Robinhood being a no service and cheap free platform," said one financial advisor.
Analysis points to historically large peacetime deficits and debt levels, raising new questions for advisors about retirement income security and future policy changes.
Financial advisors, however, are sitting pretty in the AI maelstrom.
The AI-powered upgrade aims to create a transaction-focused hub for dealmaking, recruiting, and succession planning among wealth and financial advisory firms.
Despite historical evidence against wealth flight concerns, the Meta CEO is joining a growing list of tech titans exiting for Florida's luxury market.
Also, Mercer Advisors taps an LPL alum to lead the evolution of its investment platform, while Mission Wealth extends its footprint in Colorado.
New survey reveals over half of women 50+ feel less secure financially than a year ago.
