Dan Shaw

With the recent bull market being driven by just a few companies, many clients are asking: Why wasn't I in that stock? Here's how to answer.

A look at which firms had the biggest loan balances and revenue numbers and the relationship between the two.

The arbitration award comes amid the industry's aggressive push to make sure departing wealth managers pay back money owed on recruiting loans.

Firms that haven't been afraid of generous recruiting offers have shown the greatest growth in recent years.

David Kelly of JPMorgan thinks investors can safely navigate private markets — provided they work with the right managers.

Huntington Investment Company is accusing a former advisor of resigning with no advance notice and then using confidential information to drum business from ex-clients.

With rate cuts still on the horizon, some advisors wonder if it's time to look for returns beyond high-yield savings and money market accounts.

The high court ruling deals a serious blow to a system that critics contended had allowed regulators to act as proverbial judge, jury and executioner.

As more portfolios come to rely on alternative investments, expertise in sorting out good from bad opportunities is becoming more critical.

LPL accuses its rival of hindering "competition in the financial services space" through its "cynical" attempts at frightening advisors into staying put.

The Atlanta-based independent broker-dealer thinks some advisors will always feel ill at ease at big firms that keep getting bigger. That's where it sees its opportunity.

The latest legal challenge to the firm's "cash sweeps" policies argues advisors violated their fiduciary duties by not procuring higher yields for clients.

An industry recruiter notes that many wealth managers who switch firms receive money from their new employer to cover forfeited deferred compensation.

Recent research may suggest private credit doesn't produce great returns after fees and risks are taken into account, but wealth managers still see a case for using it and other alternatives to move beyond the 60-40 portfolio.

Survey results suggest alternative investments like private equity and private credit are already popular among advisors and becoming only more popular.

The founder of the private-equity backed RIA says he's interested in further acquisitions but doesn't want to be "growing for growth's sake."

Yext's CEO said his firm could have tried building its own in-house compliance software. Instead, it found exactly what it needed at Hearsay Systems.

Sources familiar with the case say Nicholas Takahashi's name surfaced on a Wells Fargo website long after he had left to work for a competitor.

Like its Wall Street rival Morgan Stanley, Citi sees a path to trillions in client assets in its workplace division.

The deal comes as a Raymond James executive questions if advisors who choose to go with private owners won't regret their decisions in three to five years.