Investments

Axos Advisor Services, Hilltop Securities and Innovayte may not be as large as industry giants like Schwab, Fidelity and Pershing, but each has built a solid base of clients. And the three underdogs may have more opportunity in a fast-shifting fight for RIA clients.

Charles Schwab is making good on its long-mulled plans to charge news fees to providers of ETFs. Investors are likely to bear the costs.

Here's how to help clients with long-deferred gains prepare to settle up.

A new Cerulli Associates whitepaper divides RIAs into fee-only firms, hybrid companies and independent firms with insurance licenses. The results offer a striking view of how consolidation is affecting the fiduciary duty in wealth management — and vice versa.

Schwab plans to introduce its own version of a popular long-short strategy used to hold down investors' tax bills. Some wonder if the move is yet another bid to hold more assets for itself.

No current events compare to, say, the collapse of Lehman Brothers or Bernie Madoff's firm. Nevertheless, experts say RIA owners and financial advisors should still understand how SIPC protection works.

Wells Fargo, LPL, RBC, Raymond James and Goldman Sachs are flexing their ability to compete for RIA custody business. But that business also brings them into some unfamiliar, murky terrain for giant wealth management firms.

Financial Advisor Confidence Outlook data revealed what advisors think about current issues around the economy, policy and practice management.

Apex Fintech Solutions CEO Bill Capuzzi says he doesn't think there has ever been so much interest in the custody side of wealth management. His firm is a custodian to wealth management firms and a software provider to some of the biggest names in the industry.

When Goldman Sachs buys Neos Investments, it'll acquire products testing how decades-old laws are applied to a new generation of tax-optimizing strategies.

The IRS proposed rules that would let donors gift stock to Trump accounts and request comments on the strict minimum holding period for beneficiaries.

A prenup can start a couple's money conversation, protect an inheritance and even shape what happens if a surviving spouse remarries.

Thirty-seven percent of those making more than $500,000 live paycheck to paycheck, Goldman Sachs found, making this a problem for more than just lower-income workers.

In addition to proposing broader access to private market investments for those who pass a test and for CFPs and other credential holders, the SEC also proposed expanding advisors' ability to charge performance-based fees.

Amid political pushback around ESG, Climate Week panelists say firm leaders should focus less on the label and more on the risks that matter to clients.

A strategy popularized by AQR to help wealthy people slash their taxes on ordinary income is facing a sign that authorities are preparing to clamp down.

As regulators lower regulatory hurdles, many advisors are seeking greater access to private investments, while asset managers and fintechs are trying to eliminate technical barriers keeping regular investors out.

Betterment Advisor Solutions, formerly Betterment for Advisors and Betterment Institutional, is changing its platform fees into a tiered rate that begins at 0.20% for advisory practices with less than $10 million in the business, Betterment CEO Sarah Levy says.

As the U.N. renews its call for $1.3 trillion a year in climate finance, four leaders in climate finance say the biggest question for advisors is where that money goes.

As AI threatens firms' lucrative business managing uninvested cash, Schwab gives its RIA partners a new way to keep clients' cash holdings sticky.