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.

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 ...

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.

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

The news last week that Republican Donald Trump had been reelected had an immediate positive effect on the stock market, especially small-cap stocks. On Nov. 6, the day after Election Day, the ...

Nicholas Takahashi leads the Takahashi Retirement Group of Raymond James. Morgan Stanley is suing him in a client-solicitation dispute. Morgan Stanley is accusing a former advisor who left for ...

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 ...