Many owners of small firms don't plan their exit properly — or at all. Here are things advisers should keep in mind to help business-owner clients make plans.
It's back to an 'organic plan' for the bank's wealth management business in the United States, says Iqbal Khan, co-president of UBS Global Wealth Management.
The program offers six months of training in how to attract and work with high-net-worth and ultra-high-net-worth clients.
Michael Schneider, Megan Kowalski and David Sokolovsky will lead initiatives in the family office space.
Sixty percent of workers say they're focusing more on their financial benefits compared to a year ago, according to the firm's survey.
The imperative for having more women in charge of brokerage and advisory firms is pretty clear — in the future women will control more of the nation's wealth.
Judge rejects Amy Cooper's suit against Franklin Resources in which she claimed racial and sexual discrimination and defamation.
A new generation of advisers is critiquing traditional AUM fees and advocating for alternatives.
The credential will confirm an adviser’s expertise in working with nonqualified deferred compensation and executive compensation plans.
Millennials — those born between 1981 and 1997 — trail far behind older generations, with only 5% of the country's wealth. But they're starting to come into their own.
Adding a tax overlay to multiple unified managed accounts lets advisers generate tax alpha through APIs that identify and recommend tax-smart trades and sales.
The largest American insurance companies have uneven track records with diversity when it comes to selecting asset managers.
The move aligns state policy with a Finra initiative that extended the grace from two to five years as long as brokers stay current on continuing education.
Rubino Skedsvold Moran & Associates, which is based in Portland, Oregon, will use the firm’s RIA and custodial platforms.
When the bank replaced hard drives and servers, it improperly disposed of thousands of devices, compromising the personal data of about 15 million clients.
The trade group's new president and CEO previously served as its general counsel.
A risk alert released Monday gives advisers a preview of how the agency will assess compliance with the regulation, which overhauls advertising restrictions for the first time in 60 years.
VRGL's $15 million Series A round, FMG's acquisition of Vestorly, Farther's funding round and Orion's partnership with Apex Clearing are among the highlights of this month's roundup.
UBS participated in the funding round for the provider of direct indexing, which oversees more than $2 billion in assets.
North Carolina’s Bank of Oak Ridge will use Marstone’s platform combined with advice from Detalus Advisors.
