Ann Marsh

The five-time San Antonio Spurs champion is willing to testify against his former longtime planner, according to the team's lawyer.

MarketRiders is the latest digital platform aimed at a specific minority investor community.

The layoffs are part of a shift of personnel to LPL Financial's South Carolina campus to cut costs and position the independent broker-dealer for future growth.

It’s the third wirehouse team to move to HighTower's outsourcing service this year.

AdvisorEngine's purchase of software firm Wealthminder is the first of what's expected to be another year of deals and investments into the wealth management fintech space.

It’s time to serve clients at every income level, the influential adviser says — in a big strategic departure from his firm's past emphasis on landing ever-wealthier prospects.

Reflecting industry concern with Department of Labor rule requirements, the firm dubbed the platform as a "One-Click Fiduciary."

A new comment period would give the administration time to prepare for legal challenges anticipated after it puts a delay into place, one expert says.

Organization takes the case "to put a spotlight on a bank that may have engaged in misconduct more significant than Wells Fargo's."

The firm says it could delay changes it pledged to make to comply.

The firm says it "terminated" its relationship with the large OSJ. It’s the third large split in two months.

Regional directors are “sorry to see Doug go," a Cetera adviser says. Tom Taylor, now COO, will take his place.

Once a top-producing planner at LPL, Carson now possesses a direct line to the CEO.

The costs of complying with the fiduciary rule may cause many smaller independent broker-dealers to disappear. Advisor Group plans to take advantage of this trend.

OSHA supports ex-broker Johnny Burris’ firing because he allegedly faked company letterhead. Burris says the bank approved the altered letter years before.

The decision vindicates ex-broker Johnny Burris, but also supports the move to fire him. However, a bank document obtained by Financial Planning casts doubts on the reason for his termination.

Financial Planning’s 6th annual RIA Leaders ranking revealed a startling trend.

Having lost AUM over the past year, advisers are investing time and resources in new engines of growth.

Margins are down and expenses are up, Fidelity's new benchmarking study finds. Pricing models need to be re-visited.

Dan Moisand's firm joins the Institute for the Fiduciary Standard's new listing. Moisand is a former CFP Board official and ex-president of the FPA.