Ann Marsh

While seeking input on how to better nationally integrate operations, the FPA has scrapped the idea of wrapping all chapters into a single legal entity — for now.

Under the firm's CEO, who is also its chief compliance officer, the alleged scheme continued undetected for seven years, the SEC says.

More than 130 survivors of a devastating California wildfire have received pro bono planning services that helped them begin to reassemble their lives.

The RIA divisions of Raymond James and RBC are also among the companies that self-reported.

The $150M RIA left an IBD they had been in business with for 11 years.

The firm has bulked up organically. But now it’s time to buy.

Top firms explain how they appeal to wealthy clients — and elite advisors

Several RIAs have taken a cue from doctors in recent years, running in-house residency programs to train the next generation of planners.

The private-equity backed aggregator bulks up to 39 offices with its second acquisition of the year.

"This is it for me," one of the firm's new partners, who is 32, says of his hope of spending his career at Yeske Buie.

The new office will complement the relocation of the firm's headquarters to the state.

Raymond James's culture and "access to leadership" were among motivators advisors cited for their moves.

All 83,000 CFPs certification information is now published via the same technology that underlies fast-proliferating cryptocurrencies.

New Chairwoman Susan John says the board is preparing for more cases due to its new standards and code of conduct.

The move follows calls for reform. Banned brokers, acting in lieu of attorneys, have made a living for decades representing investors.

An unknown number of test-takers viewed results online showing that they had passed, when their results were still under review.

"We said, 'Even though we are drinking water in the bar, there are too many drunks, so let's not go into the bar.'"

As a fiduciary, "I realized I wasn't putting their best interests first by keeping them," says advisor Tony D'Amico of Fidato Wealth.

At the moment, there's no clear way to "turn over human intuition" to machine learning, but there are immediate ways to save advisors' time.

James Polese and another advisor used the funds to pay bills and cover kids’ college tuition, according to the Department of Justice.