Corporate governance

CEO Sergio Ermotti said UBS had begun to cut costs following the merger of the U.S. and international wealth management divisions.

The owner of RIA aggregator Mercer Advisors has pledged to maintain the IBD network’s current structure under the deal.

Advancements in fintech, new products and a shifting regulatory environment are among industry executives' top concerns.

Why structuring your practice under a lead advisor won’t serve your staff — or your clients

The new competition asks innovators to take client experience to the next level.

Kestra grabbed a practice from the No. 1 IBD, but it gained another one while preparing for a top executive’s departure.

Rapid developments in financial technology are among the industry’s top operational challenges, asset managers say.

The practice has spent 22 years with the No. 1 IBD, but it will be at least the eighth practice of its type to leave amid changes to the firm’s policies.

The firm’s equity-trading business head Ted Pick, promoted to lead its division of investment bankers and traders, is one possible successor.

The No. 1 independent broker-dealer has grown beyond the wirehouses, but it added about 100 fewer advisors than expected from its major acquisition.

The No. 1 IBD’s top recruiting executive announced his retirement after the firm disclosed some mixed recent results.

Drop that Excel spreadsheet. Here’s why your business plan should fit on just one page ... in Word.

Royal Alliance Associates will absorb the firm following the deal, which would push the network’s headcount above 6,800 advisors.

The firm’s principal says his team wanted to join the No. 1 IBD, which is testing larger recruiting offers.

Affluent clients have "a fairly low awareness of fees," according to new report.

The firm aligned its brokerage business with Private Client Services following a big acquisition and a major executive hiring.

A public offering will be a landmark for the advisory business. But the aggregator will face unprecedented scrutiny from investors.

The clearing and custody firm also announced $50 million in new investments to fuel its advisory business.

The definition of independence for advisors is changing, according to a new report.

The No. 7 IBD has unveiled five new internal classifications for practices in an effort, it says, to boost the customization of its services for advisors.