Industry

Freshly split from Raymond James, a new hybrid RIA plans a multiphase transition that will culminate in over $3B in AUM.

The latest push-pull episode between the giant firm and its large branches came to light in its earnings call. Unanswered questions loom large for its future.

A founder of Harbor Lights Financial Group said he and his partners scouted possible private equity buyers and decided LPL was the best option for preserving their firm's legacy.

While big firms keep getting hit with lawsuits alleging unfair cash sweep policies, MaxMyInterest is generating returns from cash through the competitive marketplace.

Researchers wonder if similar regulatory attention could eventually hit the bottom lines of independent broker-dealers and RIAs.

Like cable companies, Fidelity Investments has joined the bundled pricing trend, targeting smaller firms with lower-cost options to access their multiservice platforms.

The hires add credibility to the wirehouse's renewed commitment to recruiting.

From a logo inspired by a clothing decoration to a name inspired by the cosmos, learn why these eight financial services revamped their brands.

With shares in the acquirer growing as a percentage of the consideration, the rollovers pose important practice management, tax and business implications.

Firms' practice of offering low returns on clients' uninvested cash is becoming the latest hot legal target.