The Latest

Financial professionals do a good deal of sleuthing tracking down old retirement accounts for clients.

House Financial Services Committee Chair Maxine Waters joined her Republican counterpart on the panel saying FTX's unwinding hastens the need for legislation that outlines crypto regulation.

CapWealth Advisors founder Tim Pagliara said a federal jury sided with the firm because its clients had, in fact, paid lower overall fees on their mutual funds.

CI Financial Corp. outlined a plan to reduce debt and separate its US and Canadian businesses as the fund manager tries to rebuild investor confidence in its growth strategy.

It's more common for teams to seek partial independence through affiliation when they leave wirehouses, but Roy and David Gutierrez took around a decade to go all the way. Here's what advisors can learn from their approach.

Revenue, users and accounts are up for the tech firm. But company leaders are already thinking about the future.

The deal valued at $140 million plus earnout payments will enable the No. 1 IBD to tap into an OSJ's growth while remaining its brokerage, custodian and RIA.

Despite investors' anxieties, financial professionals rarely see political contests as reasons for big changes in portfolio strategies.

While most midsize firms are folding into the largest players, the company could take an alternate path if it builds on its record recruiting.

The justices' decision in SEC v. Cochran could ultimately reduce the power of administrative law judges over advisors and broker-dealers.