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The allegation was laid out in an SEC order, which hit a U.S. unit of the firm with a $500,000 penalty.

In the first full year under Atria Wealth, the firm added programs from banks and credit unions with $7 billion in assets.

The move will merge capital-markets teams across wealth management and the investment bank in the U.S.

The firm is looking at a range of “different opportunities” for potential wealth management deals, CEO Jim Cracchiolo says.

"High-achieving" advisors on social media can increase assets by 10%.

Previous Republican and Democratic presidents have declined to assert authority over independent agencies, partly because the legal issue isn’t simple.

The company hopes to recruit new advisors by taking a version of its home office tour on the road.

One theory for underperformance has been the long steady gains in markets since the financial crisis.

The slowing is part of an overall industry slowdown that experts don’t think will last.

As smaller firms flourish, a less sophisticated approach may become more attractive.