Corporate governance

The Ameriflex Group has been adding advisors and assets without using the kind of M&A deals that often fuel expansion in the industry.

The time is ripe to invest in automation, data science and social media to fuel wealth business growth in the digital age.

The marketplace for buyers and sellers is changing as advisory practices consider transactions that could alter their firms on a permanent basis.

The number of ultrarich families is growing, and so are their demands on advisors. Schwab moderated a panel on how RIAs can succeed with these clients.

The Investment Adviser Association contends federal regulators have not taken into account the likely onerous cumulative effects of their proposals on cybersecurity, outsourcing and data security.

Although wealth management firms want to acquire clients for growth, they're missing a significant segment.

The SEC accused the famed investment management firm of providing a faulty formula to a subadministrator responsible for calculating its fee waivers.

The three financial advisors rebranded as part of the move — one of many fueling the expansion of midsize firms picking up teams from large incumbents.

INVEST 2023 panelists and the latest SEC risk alert suggest the regulator will treat the rule much like one that has cost big Wall Street firms more than $2 billion in fines.

Anna N'Jie-Konte and Keith Beverly are aiming for big growth through recruiting and M&A deals aligned around the mission of changing wealth management.

Trillions in assets are set to change hands over the coming years. Is your firm ready to serve the next generation of clients?

A top FINRA enforcement official warns that firms' internal compliance systems are not clued in to the often ambiguous meanings of the symbols now peppering many financial planners' communications.

In a crowded market, aiming to serve clients in a specialized area can help advisors differentiate themselves from the pack.

The bank will pay $290 million over allegations that it didn't do enough to stop disgraced financier.

The former relationship manager has pleaded not guilty to allegations he blew money from client accounts on bad stock bets.

The former advisor faces as many as 10 years in prison for stealing roughly $1.7 million from relatives' brokerage accounts to pay for trips, cruises and other personal expenses.

Industry groups question the wisdom of regulators seeking to have one rule on data breaches for broker-dealers and another one for advisors.

The outlook contrasts with other industries worldwide, where volume has fallen to the lowest level since the beginning stages of the pandemic.

Long-time CEO maintains he never met or even knew of notorious sex offender.

As Asian Americans and Pacific Islanders experience barriers in corporate careers and have been underserved as clients despite their growing wealth, here's what the industry can do to help.