One of the first regulatory priorities likely to die under the incoming Trump administration: the SEC's campaign against ...

After a change in leadership earlier this year, the Association of African American Financial Advisors removed the "interim" label from the chair of its board. Last month, the board appointed Alex ...

Experts say this acquisition will have far-reaching effects on the entire wealth management industry as a generational shift ...

New York City-based Zeplyn has raised $3 million in seed funding for its AI assistant for financial advisors. The Zeplyn Meeting Assistant takes unstructured conversational data and turns it into ...

Jed Finn says the firm's wealth unit could easily meet its operating margin goals if it simply stopped spending money to support advisors. But it's not about to do that.

The numbers are getting murkier, and the politics with a slim majority in the House and the minutiae of Senate reconciliation rules look anything but easy.

The news last week that Republican Donald Trump had been reelected had an immediate positive effect on the stock market, especially small-cap stocks.

More planners are dropping their FINRA registration but keeping some ties to independent wealth management firms once thought ...

Nicholas Takahashi and his team are accused of deliberately trying to poach the clients of a former colleague managing hundreds of millions in assets and producing more than $1 million a year in ...

Morgan Stanley and Edward Jones meanwhile are giving their advisors new stomping ground in midtown Manhattan offices.

Consolidation may be a prevailing industry trend. But the founders of a Chicago-based RIA see no reason to join a large ...

Large-cap funds are generally defined as those that invest in companies with over $10 billion in market capitalization and ...