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.

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 ...

Experts have amassed a wealth of resources and evidence to help financial advisors adapt psychological methods to their practices when onboarding customers.

Neela Hummel is co-CEO of Abacus Wealth Partners, an RIA that manages over $3 billion. Starting as an unpaid intern in 2009, ...

There's financial outlay and risk, but the rewards of investing in a well-run, growth-minded advisory firm can be huge.

A new partnership with the tech firm Carta will position Morgan Stanley at Work to manage stock-compensation plans for more ...