Your Practice

Displaying 13187 results
Citing 'egregious conduct,' Finra panel awards Stifel clients a stunning $132.5 million
PRACTICE MANAGEMENT MAR 13, 2025
Citing 'egregious conduct,' Finra panel awards Stifel clients a stunning $132.5 million

“The arbitration panel really threw the book at Stifel,” according to one plaintiff’s attorney.

By Bruce Kelly
Financial advisors respond to the rise in recession talk
RETIREMENT PLANNING MAR 13, 2025
Financial advisors respond to the rise in recession talk

Recession fears are rising, or at least more people are talking about the potential one. Here's what financial advisors are saying - and doing - about it.

By Gregg Greenberg
IWI announces changes to CPWA certification program
PRACTICE MANAGEMENT MAR 12, 2025
IWI announces changes to CPWA certification program

The Investments and Wealth Institute's updates – covering investor psychology family dynamics, and other areas – are set to roll out later this year.

By Leo Almazora
Wall Street recruiters say market's meltdown not hurting hiring
PRACTICE MANAGEMENT MAR 12, 2025
Wall Street recruiters say market's meltdown not hurting hiring

Wall Street jobs have thus far not been impacted by the market's recent volatility. But there are some positions more in demand than others.

By Gregg Greenberg
Mentorship can’t be a checkbox item
PRACTICE MANAGEMENT MAR 12, 2025
Mentorship can’t be a checkbox item

Making your people a priority can be the difference between your practice being a success or failure.

By Chris Davis
Compliance officers not immune from the market's manic behavior
PRACTICE MANAGEMENT MAR 11, 2025
Compliance officers not immune from the market's manic behavior

Changes in regulations are keeping compliance officers busy. Here's how they are keeping up.

By Gregg Greenberg
Are value stocks finally taking the baton from growth?
EQUITIES MAR 11, 2025
Are value stocks finally taking the baton from growth?

Wealth managers weigh in on the battle between growth and value stocks, and whether the tide is turning in favor of value.

By Gregg Greenberg
'We need more leaders'
PRACTICE MANAGEMENT MAR 11, 2025
'We need more leaders'

Advisor says Black professionals remain underrepresented in profession and 'nothing has improved in 25 years'.

By Chris Davis
Guiding the next generation
WOMEN ADVISOR COMMUNITY MAR 10, 2025
Guiding the next generation

To mark International Women’s History Month, five influential women in wealth explain their roles in fostering the next wave of talent.

Robinhood has racked up penalties of more than $1M a day so far in 2025
FINTECH MAR 10, 2025
Robinhood has racked up penalties of more than $1M a day so far in 2025

Finra has hit the investing platform with another multi-million-dollar penalty.

By Steve Randall
Advisors continue to shine as 'emotional circuit breakers,' Vanguard says
PRACTICE MANAGEMENT MAR 07, 2025
Advisors continue to shine as 'emotional circuit breakers,' Vanguard says

Latest annual report reaffirms additional net returns from behavioral coaching, especially during historic periods of heightened market volatility.

By Leo Almazora
Commonwealth loses $3.5 million fight over top advisors from Edward Jones
BROKER DEALERS MAR 06, 2025
Commonwealth loses $3.5 million fight over top advisors from Edward Jones

The large award comes at a time when the wealth management industry is seeing leading firms sue each other over recruiting each other’s financial advisors.

By Bruce Kelly
Advisors forced to talk tariffs as investor anxiety rises
EQUITIES MAR 06, 2025
Advisors forced to talk tariffs as investor anxiety rises

Market volatility is rising due to the president's tariff talk, and that's got wealth managers answering more and more client questions.

By Gregg Greenberg
Looking to the future: Financial advisors name their favorite AI programs
TECHNOLOGY MAR 05, 2025
Looking to the future: Financial advisors name their favorite AI programs

A new study shows increasing use of AI in the financial advisory industry.

By Gregg Greenberg
Advisor360, Practifi, Wealthbox unveil advisor CRM updates
FINTECH MAR 05, 2025
Advisor360, Practifi, Wealthbox unveil advisor CRM updates

Wealth tech providers unveil stand-alone platform, AI strategy, and integration partnership to support demand for productivity and personalization.

By Leo Almazora
Liz Miller on leading wealth management’s future
WOMEN ADVISOR COMMUNITY MAR 05, 2025
Liz Miller on leading wealth management’s future

Hot List honoree Liz Miller shares insights on leadership, holistic planning, and industry change.

Beyond the all-in-one: Why specialization is key in wealth tech
FINTECH MAR 04, 2025
Beyond the all-in-one: Why specialization is key in wealth tech

In an industry of broad solutions, firms like intelliflo prove 'you just need tools that play well together'

By Manal Ali
FP Alpha and wealth.com reveal souped-up planning capabilities
FINTECH MAR 04, 2025
FP Alpha and wealth.com reveal souped-up planning capabilities

With a new AI-powered analysis tool and a scenario modeling module, the two wealth tech providers are boosting advisors' tax and estate planning.

By Leo Almazora
RIAs offer tips for getting the most from their marketing dollars
RIAS MAR 03, 2025
RIAs offer tips for getting the most from their marketing dollars

Financial advisors explain how to maximize marketing spending from events to swag.

By Gregg Greenberg
Certifications give advisors a clear economic edge, IWI says
PRACTICE MANAGEMENT FEB 28, 2025
Certifications give advisors a clear economic edge, IWI says

The institute's new research indicates advisors who've earned CIMA, CPWA, and RMA designations outclass their non-credentialed rivals.

By Leo Almazora