A proposed annual surtax on second homes worth $5 million or more has drawn sharp resistance from Griffin's firms — and raises unresolved questions about implementation.
Giving back time through volunteerism, community leadership, and charitable planning can help advisors elevate relationships to a more purpose-driven level.
Zocks’ Matt Halloran tells InvestmentNews how tech is reshaping the talent pipeline.
Wealth firms ramp up M&A push with dual acquisitions targeting growth and scale.
As retirement becomes more complex, the real opportunity isn’t in better products. It’s how we deliver clarity, continuity, and confidence
The long-standing practice of deleting client records after the SEC’s five-year mandate may be losing relevance as advisory firms seek to retain data for AI-driven insights.
Two thirds of Americans now fear running out of money more than death, study shows.
The current rules that govern day trading in customer margin accounts were adopted nearly a quarter of a century ago, FINRA said.
A fund manager claims a pre-IPO sponsor hid markups and a 17.5% carry behind a "0/0" SpaceX pitch.
The wealth tech platform's four new hires, including one Holistiplan alum, are expected to scale its vision to connect data, workflows, and execution for wealth firms adopting AI.
Stifel CEO Ron Kruszewski says AI can boost advisor productivity and prompt more ideas around tax and estate planning, but “when you move to judgment, which is what our advisors do, it just really isn't that good."
The mega-RIA is acquiring one of its flagship affiliated practices, which has grown from $600 million to nearly $10 billion in assets since joining from Morgan Stanley in 2015.
Meanwhile, right-hand man of Bradley Heppner, founder of Beneficient, is scheduled to testify Thursday.
Former SEC attorney Rebecca Fike explains the ethos behind the headline stats.
Two RIAs expand in the Mountain West as M&A, advisor succession and scale remain top priorities.
“[AI] has already been helpful in our industry,” said Raymond James CEO Paul Shoukry, but acknowledged the limitations of the technology when it comes to advisor/client relationships.
Roughly 160 foreign investors say the sponsor ignored red flags while a Manhattan tower went bust.
An Idaho couple claims SEC-installed fiduciaries routed mine sale cash away from their $7M judgment.
Separately, UBS strengthens its Manhattan presence with a defector from Deutsche Bank, while Cetera welcomes a father-daughter tandem from Osaic.
Integrations with FIDx and Luma Financial Technologies extend the firm's digital distribution, including a first-of-its-kind update for the life insurance business.
