Industry

Raymond James has landed a former UBS advisor with more than $125 million in client assets and more than $800,000 in annual fees and commissions.

The industry is losing about 3,000 to 4,000 advisors annually who aren’t being replaced, says Pershing CEO Mark Tibergien.

Chad Ragland decided to go into the Army during the Vietnam War instead of teaching English in Tahiti with the Peace Corps (an option that was open). And he's never regretted it.

“There’s a very low supply of advisory firms with more than $1 billion in assets under management,” says Echelon CEO Dan Seivert.

Mention bankruptcy on a Form U4 and there's no erasing it, even if you settle your debts.

Should small and midsize RIAs be required to have a succession plan in place for their firms? State securities regulators are asking for input from practitioners as they wrap up the rulemaking process.

The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008.

Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners.

Schorsch makes big changes to the firm's executive team with a new CEO as well as the hiring of longtime LPL exec Bill Dwyer.

Barclays hired Akshaya Bhargava as chief executive officer of its wealth and investment management business to replace Peter Horrell, who stepped down.