Industry

The industry critic joins other profs who became financial advisors. She's serving as the part-time principal of a new practice launched by a longtime friend.

It's more common for teams to seek partial independence through affiliation when they leave wirehouses, but Roy and David Gutierrez took around a decade to go all the way. Here's what advisors can learn from their approach.

The deal valued at $140 million plus earnout payments will enable the No. 1 IBD to tap into an OSJ's growth while remaining its brokerage, custodian and RIA.

While most midsize firms are folding into the largest players, the company could take an alternate path if it builds on its record recruiting.

UBS is growing its advisor headcount in the U.S., but it lost four advisors today and five last week to rival firms. The Wells team is a breakaway half from a powerhouse UHNW group that split in the move.

The RIA aggregator tacked on an additional $21 million in annual revenue through just two of the transactions.

The regional bank's play for a piece of the wealth management pie, under wraps for more than a year, has a unique twist.

After its spinoff from giant accounting firm RSM, the newly standalone firm struck an agreement to add on to its existing base of $13.5 billion in client assets.

The wirehouse is adding pay bumps for advisors with positive net new assets to encourage business growth in a time of shrinking client assets.

A financial planner can complement the CPA through the stressful process by taking on a number of supporting — yet crucial — roles.