Tax Foundation says some founders, tech executives, and other ultra-wealthy residents could face 'dramatically higher' consequences.
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World hires former Osaic exec as new CFO to steer growth; JPMorgan recruits investment strategist from Bloomberg.
When aging clients begin missing details or making unusual requests, what should an advisor do? Jeffrey DeHaan shares real-world lessons and a step-by-step approach to safeguarding vulnerable investors without leaving advisors to navigate the risks alone.
When markets feel like a roller coaster, your expectations can make or break your investing experience. Todd Bryant, CFP®, shares a simple “escalator and yo-yo” visual that helps clients stay calm, focused, and invested for the long term.
A number of financial advice firms over the past several years have reported similar data breaches.
Unions, business groups, and tech titans line up on opposing sides of the measure targeting up to 250 of the state's most fabulously wealthy residents.
Plaintiffs allege a years-long scheme left them without promised security.
A federal appeals court just handed advisory firms a major loss in their fight to stop advisors from walking out the door with clients.
From financial pressures to feeling adrift after work, retirees are facing a myriad of challenges – and it's up to financial professionals to bridge the guidance gap.
The New York-based alts tech platform's latest leadership hire also comes with experience from LPL, Citi, and KPMG.
RIA’s new Angeles Family Office unit pushes deeper into services for generationally wealthy households amid a boom in “family office” branding.
Advisor360 survey finds RIA, broker-dealer, and bank advisors leaning on AI for meetings and CRM updates, but remain wary of handing it the keys to advice decisions.
Nearly two decades of data show retired households face frequent “rainy day,” family and health shocks, often without enough liquid savings to cover even a single year.
'FINRA’s 2025 disciplinary statistics reflect a significant reining-in of FINRA’s enforcement program,' according to analysis.
Meanwhile, Wells Fargo snags another rival wirehouse team in Atlanta, while another longtime LPL advisor joins other seceders to Cetera.
In a letter shared exclusively with InvestmentNews, trade group urges Chair Paul Atkins to modernize disclosure rules for digital delivery for investors.
The liquidity increase at the nontraded Blue Owl Technology Income Corp. comes as some advisors and clients are bailing from BDCs.
Only 3% of SEC-registered RIAs qualify as small entities under the agency's current threshold, but about 75% would qualify under the proposed new definition.
New hire brings mix of client experience, digital and consulting chops as the independent broker-dealer behemoth leans into scale, growth, and M&A.
