Ann Marsh

Marcato Capital has sold more than 1.6M shares so far in January, according to an SEC filing.

Beleaguered RCS Capital to give details of an advisor retention plan by Jan. 8

Stockholders lose out, bondholders to control company.

It’s not easy being one of the largest RIA firms in the nation. The leaders are doing everything it takes to lure the right talent, grow their practices and remain truly independent.

FINRA's system for ensuring the integrity of advisors’ BrokerCheck records is broken but can be fixed, securities lawyers and other experts say.

Despite a ban, firms still offer clients money to not fight brokers' bids to purge their public records, lawyers say.

Fired adviser Johnny Burris complained the firm forced him to sell unsuitable products to clients, long before it acknowledged to the SEC it “violated the federal securities laws.”

Regulator could make some "immediate" changes; arbitration reform advocate says he's "hopeful."

It’s rare that advisors leave the Christian-oriented independent firm, a spokeswoman says.

Some question whether the CFP’s election of fi360’s Blaine Aikin as 2017 chairman is beneficial or potentially harmful to constituents.

Create a "culture of inclusivity," drop old-world ways and give young planners a voice in your firm in order to recruit and keep them, two experts say.

The drop is "a great thing for the industry," as long as it's not mainly due to retiring older advisors and easier tests, one expert says

These advisory hubs appeal to those to want both independence and a corporate structure.

Family office advisor Rick Flynn rebrands his practice and teams with two other veterans.

Family office advisor Rick Flynn rebrands his practice and teams with two other veterans.

These advisory hubs appeal to those to want both independence and a corporate structure.

Acquisition of Hokanson Associates is just the start, Aspiriant CEO Rob Francais says: “We are open for business.”

United Capital anticipates adding $1.5 billion in assets in buying Select Financial Group and PSA Insurance & Financial Services.

The fiduciary rule would significantly change how advisors are compensated and is part of a global trend to increase investor protection, researchers say.

Serving public shareholders conflicts with LPL's ability to serve advisors and clients, says David Pickler, who has moved to Commonwealth Financial.