Some ultrahigh net worth clients would be affected by a change to retirement plan contribution and distribution rules that's under consideration in Congress.

The regulator cited anti-money-laundering deficiencies in its decision, signaling the government is keeping a close eye on the issue even in a broader deregulatory environment. That means fintechs will be recruiting compliance experts from banks.

Two quarters after it merged with Synovus Financial, Pinnacle Financial Partners is keeping up the aggressive recruitment it's known for. Since the start of 2026, the company has hired 124 bankers.

SEI may not be the first firm that comes to mind when thinking about the industry's custodians, but the firm has built a substantial client base of financial advisors over more than 30 years.

FINRA's annual snapshot shows how the wealth industry is changing, from key business metrics and marketing trends to shifts in registration and a shrinking branch footprint.

An albeit smaller sample of financial advisors participating in FP's Compensation Survey nevertheless reflected the industry-wide trend around gender pay gaps.

Financial Planning's Compensation Survey measured the total pay of hundreds of financial advisors and, perhaps more importantly, the lessons they would share to aspiring planners about forging a successful career.

Although there are advisors who suggest steering clear, there are times when clients might benefit from using a checkbook IRA to invest in alternative assets.

JD Power's closely watched survey of financial advisors' satisfaction with employee and independent brokerages crowned its perennial winners, with one interesting exception.

The Ensemble Practice's annual growth and profitability report reveals a "scissors shape" between the two, based on a survey of more than 170 firms.

Even though RIAs reached a record size in four important metrics, experts say equity values are masking weaknesses in their organic growth.

Future advisors, who are a hot commodity for an industry facing a talent shortage, want face time, mentorship and to work for firms that align with their values.

There is a tendency among many sales managers to tightly script sales interactions. But if you attempt to take all reasoning and thinking out of a job, you'll get employees who stop reasoning or thinking.

CEOs of payments companies and fintechs such as Block and Bolt have pointed to AI as a driving force behind layoffs at their organizations. But Tania Babina, an associate professor of finance at the University of Maryland's Smith School of Business, says there is no systematic evidence that AI is taking jobs.

Credit unions have a long history of serving diverse members. In a climate where programs designed to promote diversity, equity and inclusion are under constant attack, they should double-down on that commitment.

Anthropic's head of banking told New York Banking Summit attendees that the future is agents that operate autonomously alongside employees.

The fintech joins a handful of fintechs and payments companies that have laid off staff this year. Robinhood CEO Vlad Tenev said the decision was proactive to keep the organization lean.

The big moves hit the Swiss firm as it continues to lose advisors on a net basis — though now it's reportedly sweetening its recruiting offers.

The North Carolina-based regional has recruited Michael Lyons to serve as CEO, starting Sept. 1. Lyons will replace Bill Rogers, who plans to retire in April 2027.