Industry

As competition for talent increases, the best way for RIA firms to hold onto top-tier employees is to make it worth their while. Schwab's 2014 RIA Benchmarking Study highlights three major steps toward building a good compensation plan.

The broker-dealer giant has acquired a 51% interest in electronic services firm Docupace Technologies.

"Any effort to put broker-dealers and advisors into the same box is probably not going to work," says a former deputy director of the SEC's Division of Investment Management.

Two former advisors from Fifth Third Private Bank are joining LPL's broker-dealer and custodial platforms as an independent hybrid firm, StreamSong Advisors.

Morgan Stanley hired a team with $4.5 billion in AUM – the second multi-billion-dollar team plucked from Merrill Lynch this month.

Sales and advice should be separated by law, because there’s a clear difference between true "fiduciary" practices and those of the brokerage industry, Fiduciary Institute says.

Washington Wealth crests $1 billion in AUM by adding Martucci Adams Wealth Advisors of Salt Lake City.

TD Ameritrade's online hub will offer information and action alerts to advisors as lawmakers and regulators weigh hot-button issues.

Wells Fargo continues recruiting from UBS, hiring advisors with a combined $410 million in AUM.

An ex-Morgan Stanley advisor represented himself in a contract dispute with the firm before FINRA, and the arbitration panel assessed him over $200,000 in fees.