Industry

Employees at Ballentine Partners, a multifamily office and RIA, say their firm can be an example of how small or midsized independent firms can advance on DEI.

Kenneth A. Welsh stands accused of taking money out of his clients' brokerage accounts to buy gold and other precious metals and pay down credit card debt.

Financial advisors who want to serve groups historically denied access to wealth-building need a different approach, according to experts at an industry diversity summit.

Firm CEO sees benefits in acquisitions rather than recruiting, in part because they allow for "client continuity."

Nepsis, a Minneapolis-based financial advisory and investment management firm, has acquired Sevenich, Butler, Gerlach, & Brazil, a tax, accounting and consulting firm in Saint Paul, Minnesota.

The Wall Street regulator shows strong interest in preventing relatively new forms of technology from being misused in ways that can harm investors.

The giant independent broker-dealer said Wednesday that it had created a new channel to target wirehouse advisors with high net worth practices.

Researchers from the Columbia Business School uncovered some major trends, but one of the co-authors says the trust of clients is one possibly immeasurable factor.

Intuit announced a raft of new capacities and features, mostly focused on automation, workflow efficiency and integration.

Shirl Penney and other firm leaders discussed the firm's ambitions and plans in the M&A market.