Gathering client data upfront is a critical, but often unnecessarily difficult, first step of any financial advisor-client relationship. Too often, wealth management firms still rely on spreadsheets, ...

Artificial intelligence (AI) is making its presence felt across multiple industries, including the financial services space. While AI is unlikely to completely replace advisors, more financial ...

Client management platforms have become an essential part of an RIA’s tech stack as these tools make it easier to access and update customer information. The Financial Industry Regulatory Authority ...

In mass tort cases, the data that plaintiffs firms collect during client intake is needed to understand both the strength of each of their client's claims and the strength of their overall portfolio ...

Being a fiduciary and acting in your clients’ best interest has become such a frequently repeated mantra in wealth management, it often elicits eye rolls and impatience. All financial advisors should ...

The lawsuit claims ShinyHunters, a prominent cybercrime group behind breaches at other wealth firms, exposed personal ...

You can probably tell when your clients are drowning in too much information. Daily bombardments of intra-day trading figures, predictions of doom from TV experts who have no personal stake in the ...

Automated tools and techniques now play a big part in audit and tax compliance services and have increased the use of client data by accounting firms. However, while tools such as data analytics and ...

Charles Schwab is taking one of its former reps to court, accusing him of being a “disloyal employee” who allegedly departed wielding trade secrets on thousands of Schwab clients. Schwab filed a ...