Some Wells Fargo Advisors clients never got promised discounts, according to the regulator.
Raymond James poll reveals the priorities of handling intergenerational wealth transfers.
How one Summit Financial advisor plans to use Pontera to manage clients' held-away assets.
The chipmaker's shares soared toward a record high before the bell.
The provision was buried on page 302 of a rule focused on private-fund advisors. The SEC also reopened the comment period on its advisor custody proposal.
Canter joined Bluespring only a year ago after spending nearly 13 years at Fidelity Investments.
LPL, Osaic and Cetera Financial Group are all 'fighting amongst themselves' to lure advisors, one recruiter notes.
Over time, the increased demands of running a wealth management shop eat into the time advisors once had to work to their strengths and to devote to clients.
How can fund managers and wealth managers expand investor acquisition through digital marketing when they no longer have access to data from cookies?
Matthew Holbrook is joining Linsco and will launch Coastline Wealth Advisory in Irvine, California.
The downsizing will cost Schwab $400 million to $500 million, it says in a regulatory filing.
Compliance experts have their say after SEC's first enforcement action based on new marketing rule highlights dangers of hypothetical-performance ads.
Bill St. Louis, a long-time Finra executive, succeeds Christopher Kelly, who had served as acting head of enforcement since February.
Duran's United Capital sold to Goldman Sachs in 2019 for $750 million in cash.
The term is used and misused to the extent that it has lost meaning — but it's not going away, and it could be a mistake to ignore it.
With the SEC preparing to approve a number of major proposals next year, firms face added costs and a huge amount of compliance work.
The ESOP Group, founded in 1989, specializes in working with business owners on the sale of their businesses.
'We see AI as a friend and not a foe' — advisors say technology is driving down costs and allowing them to serve a bigger book of business.
The new firm's pay 'is significantly enhanced from the industry norms,' according to an investor presentation.
This month's highlights include Wealth.com’s launch of an AI-driven ‘legal assistant,’ the Kitces Research AdvisorTech study’s depiction of the industry’s integration challenges, and the crop of digitally native RIAs.
