Industry

Beyond eye-popping prices and assets changing hands, record M&A is altering the structure of the industry.

Who guards the guardians? Regulators, yes, but as CFPs we must also police ourselves

The low-cost brokerage followed its competitors for retail clients and will offer the new pricing to RIAs in November.

Since this March, almost 100 firms have settled with the regulator for approximately $173 million. Other cases are still pending.

Bill Mahler had been chairman of the firm’s equity capital markets and equity asset management units. He was also on the executive committee.

Billy Ricketts is most likely the elder stateswoman of wealth management — but she and her grandson believed it was time for something new.

An online war is underway for deposits, as a wide range of players — traditional wealth managers, big banks, digital-only platforms and fintechs — offer high-interest savings and checking through apps and websites.

CFPs aren’t excused from acting as fiduciaries — even if they work at a firm that requires them to recommend proprietary funds.

Blucora’s Avantax Wealth Management combines two firms that took competing approaches to serving tax professionals branching into wealth management.

In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.