A New Jersey client claims the robo advisor profited by sweeping excess cash into deposit accounts with participating banks that did not generate interest.

One of the most active RIA acquirers has recently created dedicated business lines for its W-2 and independent channels to help focus team members…

Founder Colin Higgins has moved to an executive chairman role after 22 years, appointing President Alex Katz and COO Conor Wilkes to co-chief executive…

Morningstar's Brian Moriarty explains how leverage, redemption limits and portfolio liquidity influence the performance of semiliquid funds.

A disconnect between administrative convenience and substantive tax law may lead to compliance errors.

Ryan Nauman and Zach Conway discuss evolving investor expectations, emphasizing client-centric investment experiences to help advisors compete with direct-to-consumer tech.

Underwrite it like an asset. A purchase that doesn’t work on paper won’t work on the tarmac.

Advisors are driven by revenue, competitive advantage and client demand.

The launch of these products indicates that ETF managers are innovating by closely monitoring investor sentiment and regulatory changes and then quickly bringing products…

Foothills Legacy Wealth Management, an eight-person practice based in Saratoga Springs, N.Y., brings the hybrid broker/dealer's total assets to approximately $58 billion.