Charles Paikert

The censure decisions are the result of reviews by the Board's Disciplinary and Ethics Commission, which meets three times a year.

Retiree-focused Cherrington Brotsky left Morgan Stanley to join broker-dealer FSC, a member of Advisor Group.

The highest-performing firms identified in Fidelity's RIA benchmarking study focused on 'smart technology and adoption versus chasing the latest and greatest tech products.'

Securities America and United Advisors have recruited Kevin Hughes, a top former Morgan Stanley branch manager, to head up their new hybrid independent wealth advisory business.

A clash over future growth plans at Lenox Wealth Management led to the departure of the firm's 34-year-old president and COO Jay Hummel.

Advisors who want to hire millennials need to extend a hand, says one workplace consultant.

Revenue growth, profit margins, revenue per professional and AUM per client all were greater among advisors using a team approach, according to new research.

Client investments in emerging markets, China and Japan should be watched closely by financial advisors, according to global markets experts speaking at TD Ameritrade Institutional's national conference.

Advisors who don't enhance the client experience are doomed to become "the travel agents of the future," according to Ron Carson, founder and CEO of Omaha-based Carson Wealth Management.

"You have to go where the money is," says Evercore Wealth Management chief executive Jeff Maurer, as the firm pursues UHNW clients with $5 million to $200 million in investable assets.

Dynasty Financial Partners has hired Ronald Sallet as senior vice president of network development, making good on its promise to boost business development in 2014.

RCS Capital moved to become the nation's second-largest independent broker-dealer by advisor count on Thursday by agreeing to purchase Cetera Financial Group for $1.15 billion in cash.

The $1.3 billion Rockville, Md., advisory firm has added two prominent advisors to its team, adding roughly $50 million to Highline's assets under management.

The move is part of a shift of emphasis from life insurance "to a more well-rounded protection and retirement planning approach."

A new PriceMetrix study outlines critical factors for keeping clients connected.

As the stock market has soared, firms face new competition for both talent and clients.

Focus Financial Partners, one of the most aggressive aggregators, has added $400 million in capital funding, with another $150 million waiting in the wings, scoring one of the industry's largest lending deals from a consortium of large banks.

The Family Office Exchange's newly published Guide to the Professional Family Office offers time-tested recommendations to help wealthy families maintain their fortunes.

The New York-based platform outsourcer and service provider for large wealth management firms is beefing up its business development team, vowing to become much more aggressive in going after new clients.

Unlike many ultrahigh-net-worth individuals and families, the new rich rely primarily on income from their jobs for their wealth.