Advisors who depart for other firms have no right to client data in books of business built using bank referrals, JPMorgan argues in a new lawsuit seeking a restraining order against a former advisor ...

Some of the best advice that financial advisors give clients—and colleagues—is to read a book. Advisors have long recommended titles that can broaden perspective and help drive success of both the ...

The long-standing practice of deleting client records after the SEC’s five-year mandate may be losing relevance as advisory ...

Background: Kayvon Sarmadi launched his career as a solo advisor at just 23 years old—an unusually young age in a post-financial crisis industry. “I had to beg the firm for an exception,” he says. “I ...

The reason integrated firms are being built and attracting clients is not because service bundling is a clever revenue trick.

The competition for high-net-worth clients has never been more intense. Wirehouse breakaways, digital wealth platforms, ...