Every month, InvestmentNews will produce a series of articles on a theme affecting financial professionals. In February, our writers will focus on Practice Management, paying particular attention to recruitment and M&A. All content can be found here.
Leading advisors discuss how wealth managers should handle fast-evolving threats and technology.
Quad-A CEO Sheena Gray says modernizing commission rules could give independent Black-owned firms more flexibility to hire, scale and serve underserved investors.
“AI proved the industry can modernize at speed,” said Germán Soto Sanchez, chief product and strategy officer at Broadridge Financial Solutions.
Do your aching back a financial favor. Put down the shovel and pick up your tax forms.
“If AI is to play a role in their business operations, advisors would do well to disclose where it is used," said John McKenna, senior analyst at Cerulli.
Chilton Trust’s Gina Nelson tells InvestmentNews that wealth complexity, generational assets and fiduciary obligations collide long before couples say ‘I do.’
While it has sidestepped a public trial, an ex-analyst’s case renews scrutiny of how far junior bankers are pushed on live deals.
The growth in NIL deals for college athletes is creating a new class of investor, but not all wealth managers are jumping on the opportunity.
New research shows active mutual funds lag passive peers in 2025, with long-term success still low.
Firm upgrades fixed-income tools and internalizes overlay management to accelerate tailored investing.
It may still be cold and wintry across much of the country, but the wealth management industry is already heating up over the coming InvestmentNews Awards.
James Sahagian, from Stewart Partners Global Advisory, Jeffrey Dehaan, from Private Wealth Management, Clearwater Capital Partners, and Jerit Tripp, from Gilbert & Cook Private Wealth Management, discuss how to deal with regulatory change and fast-moving technology.
Wealth managers offer advice for keeping financial issues from breaking apart relationships.
The California DFPI restated existing annual filing and financial reporting obligations for California-registered investment advisors, regarding registration, financials and audits.
New data shows advisors leaning on models to reclaim time for growth and client relationships.
January is typically a big month for divorces after the holiday season. That makes February an imperative time for newly uncoupled clients to get their finances straight.
Comedian Johnny Hilbrant, aka the PE guy, has taken aim at Chuck Failla, CEO of Sovereign Financial Group, in the goRIA podcast.
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.
Leadership moves reshape strategy, wealth and digital leadership across major firms.
CEOs anticipate solid revenue, profitability and productivity gains for 2026 with AI returns outpacing forecasts.
Wealth managers widen services from lifestyle perks for the ultra-rich to integrated solutions for mass affluent.
Holding out for perfect clarity could mean a missed chance, municipal bonds director tells InvestmentNews.
From office space and staffing to debt, equity, and revenue‑share deals, Dynasty's Harris Baltch lays out the real cost of launching an RIA.
The uncommonly cold winter has advisory clients thinking about buying second homes in sunny places. But wealth managers say that can bring financial headaches.
The AI-powered upgrade aims to create a transaction-focused hub for dealmaking, recruiting, and succession planning among wealth and financial advisory firms.
Two new reports show singledom’s trade-offs and why couples’ cost-sharing isn’t a cure-all.
Leaders at Prudential Advisors break down how wiring AI into every stage of its leads program is supporting more robust client conversations.
Chad Maggard of the Johnson Investment Counsel tells InvestmentNews why the most overlooked risk in wealth transfer is not financial.
Punxsutawney Phil may have called for six more weeks of Winter, yet wealth managers are already making these smart moves ahead of Tax Day.
Centers of Influence, such as CPAs and lawyers, are proving an effective way to acquire new clients, according to Cerulli Associates.
Morningstar research shows more advisors turning to generative AI for efficiency while clients demand deeper guidance, context, and emotional support.
AWM leader explains why asset managers face shrinking margins despite AUM growth, and how clarity, focused transformation and adaptability will define the industry’s next winners.
Ahead of the big game between the Seahawks and the Patriots, advisors remind clients about the difference between gambling and investing.
Study finds tech gaps, rising AI use, and surging crypto interest challenge advisors’ growth plans.
The experienced executive from Silverchair and Deloitte is stepping into a role overseeing initiatives to enhance the value of the CFP mark.
Emotional land mines, old family dynamics, and unclear roles can deter and derail aging‑parent planning even for wealthy households.
Regulator says St. Louis-based hybrid firm failed for years to supervise, retain, and produce thousands of business-related off-channel communications.
Advisors offer their opinions on the efficacy of the SEC Marketing Rule governing testimonials and advertisements.
Northern Trust research finds advisors who fully integrate direct indexing report stronger retention, larger wallet share, and more planning-focused client conversations.
Chicago-based Mesirow Fiduciary Solutions adds flexPATH's plan-level outsourced fiduciary book, boosting its retirement market reach to $164 billion.
Also, Raymond James's employee advisor channel adds breakaways from Wells Fargo and Stifel, while UBS welcomes an ex-Morgan Stanley duo in Indiana.
It promised guaranteed principal and 10% monthly returns. The SEC says it invested nothing.
Ten years after entering the fee-based annuity market, MassMutual Ascend says nearly half its lifetime sales came in the past two years alone – but barriers remain among fee-only advisors.
Amplify, WealthReach, Zeplyn and Zocks have unveiled partnerships aimed at automating portfolio management, content creation, account opening, and client communication.
Northern Trust’s Ken Lassner shows advisors how to convert volatility into after-tax portfolio gains
Dan Biagini of American Equity says the steady decline of pensions, longer lifespans and a reset in interest rates are rewriting how advisors build retirement income
