Sean Allocca

The RIA rep fabricated account statements and used forged letterheads as part of the deception, investigators say.

The move is HighTower's 22nd transaction this year ― making 2017 the firm's busiest year ever.

Competition for the wealthiest clients is intensifying. Here’s one of the best strategies for finding them, according to Cerulli research.

Blue Moon Wealth Advisory becomes the eighth major purchase for the RIA in the past 18 months.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

Two of the groups joined the regional firm from Morgan Stanley.

The Dynasty-affiliated RIA manages around $15 million on average per client.

The independent advisor will retain branding rights and full autonomy.

The move marks the second wirehouse poach for the firm in as many months.

The advisors come from a firm reported to manage over $5 billion in assets.

More than 80% of the richest clients want big asset growth later in life, according to a new UBS survey.

The firm continues a recruiting streak that has netted teams managing over $10.5 billion in assets this year alone.

The new hires joined a recently opened branch in Tuscon, Arizona, continuing a push west for the regional firm.

The move will streamline investigations and standardize sanctions, the regulator says.

The Connecticut office tallied 14 new hires in the past twelve months, the firm said.

The partnership marks the third deal since a major private equity investment in April.

Some advisers are actually embracing changes by making the rules work for them.

Help could be on the way for retirement-age clients asking prickly questions about coverage options.

Contrary to received wisdom, a lifestyle practice can offer considerable advantages over an enterprise model, according to a new SEI study.

Despite record AUM per adviser, fees and revenues slump.