Barron's Advisor Practice Management

The self-regulatory organization is asking for public comments on what could amount to a significant overhaul of its dispute resolution system.

The limiting factor for financial planners is rarely technical ability. It is how they handle emotions—clients’ and their own—under pressure.

Denver-based registered investment advisory firm Mercer Global Advisors is one of the latest wealth management firms targeted by profit-seeking hackers.

Investor trading activity jumped last year, with daily average trades up 31% year over year, according to Fidelity.

Financial stocks have taken hits recently as investors weigh the impact of potential AI-related disruption.

Industry self-regulator Finra has set a date for the first increase in the cap on gifts brokers can give employees of institutional clients and vendors in more than three decades.

The co-founder of Dishmi Capital explains how he plans to use his experience in private banking and asset management to build a next-level firm.

Pelant is the latest high-profile advisor serving wealthy clients to join Cresset.

Advisors explain why abusive behavior, fee haggling, and broken trust cost more than lost revenue.

Authorities say Christopher Delgado enticed victims to invest in a purported crypto project but used the money for personal expenses and to make Ponzi-like repayments to earlier investors.

The Canadian bank’s wealth management business got a boost from strong equity markets in North America last year.

The brokerage firm is focusing on a single arbitrator in its effort to avoid the penalty in the highest-profile case involving former broker Chuck Roberts.

The commission began looking into LPL’s cash management program for corporate advisory accounts in August 2024.

The team is led by Kenneth Spitzbard, who has been a financial advisor for four decades.

Golia, who joined UBS from Morgan Stanley two years ago, has been serving as U.S. chief operating officer for Global Wealth Management.

The chief operating officer of Merrill’s Jones Zafari Group describes the core qualities required to excel in the role and what COOs must do to thrive in the future.

The firm, called the Financial Advisors, has two offices in the Bay State and brings a staff of 11 to fast-growing Beacon Pointe.

Savvy firms create replicable processes and show up when client money is in motion.

Financial advisors can play a role in training the next generation via internships, but poorly run programs can hurt firms and discourage interns.

The Weikes Slattery Group serves ultrahigh-net-worth clients from its office in New York and maintains a presence in California.

A jury ruled narrowly that Jeffrey Cutter may have been negligent in its disclosures but opted not to require disgorgement of millions of dollars.

Here’s our weekly roundup of the most-read articles at Barron’s Advisor.

Beth Rosenwald’s clients include families affected by federal government downsizing. Here’s what she’s telling them.

Hampton Bluff Capital Partners is the third breakaway team to launch an RIA on Elevation Point’s platform this year.

The legal tussle stems from the exit of an advisor team that oversaw $129 billion at Merrill, and which left the company to open a registered investment advisory firm in September.