Industry

It’s time to revisit your firm’s protocols to ensure they make sense given widespread tech adoption during the pandemic, writes Wes Stillman.

The firm’s recruiting is also gaining steam, despite the ongoing impact to its bottom line from low interest rates.

The 20-advisor team left Advisor Group’s Securities America for the private equity-backed holding company’s independent subsidiary, Cadaret Grant.

The Swiss bank added a sprinkle of new US advisors for the first time in years, amid record quarterly profits and plans for global job cuts.

The RIA roll-up could make as many as a dozen deals in 2021 through the new source of capital, CEO Marty Bicknell says.

In releasing their annual snapshot, state securities agency officials pledged to provide clarity around the compliance headache for small practices.

Biden’s proposal to raise capital gains taxes on investments profits would hit many business owners, not just ultra-wealthy investors.

Bailard appointed Sonya Thadhani Mughal under a succession plan and a series of moves unveiled by the wealth and fund company.

As the firm repelled a rare activist challenge, a potential private equity buyer has approached it, according to a news report.

Advisors who leave wirehouses face key tax considerations to become successful RIAs.