The SEC should classify smaller firms based on employee headcount instead of assets under management, according to the IAA’s General Counsel.

A new documentary pays homage to an author who brought wit, sympathy and understanding to a field that’s changed how we invest today.

Firmwide new money “has been temporarily impacted by asset attrition from clients originating at Ameritrade,” according to Chief Financial Officer Peter Crawford.

In a flash poll conducted by WealthManagement.com, a number of Avantax advisors—weary of yet another ownership change and leadership turmoil—said the acquisition by Cetera makes them more likely to consider changing firms; a smaller group expects...

Allianz said it has made a small number of changes to its distribution leadership structure “to better align with our strategic goals for new market growth.”

Orion Advisor Solutions, Intention.ly and Morningstar announced new AI-powered tools at the Future Proof conference.

Despite touting the fast growth of the product areas in June, the cuts could amount to a loss of over 200 jobs.

Our tech columnist asks what is behind giving advisors with less than $100 million in assets free use of the TIFIN Wealth platform and other questions about where the industry-norm-defying entity is headed.

Staffers in the global wealth-management division will remain at UBS’s offices at 1285 Avenue of the Americas, in midtown Manhattan.