Industry

After an investigation into the self-disclosure of regulatory incidents, the board is looking to strengthen the review process and clear up public confusion.

Interest in acquiring advisory firms appears to be at an all-time high.

The firm’s new additions include three brokers previously affiliated with Wells Fargo Advisors.

Sounds simple in theory, but when it comes to naming an RIA there are plenty of options to consider.

“We are looking at those issues about consolidation as one part of the equation,” Chief Executive Officer Sergio Ermotti said.

The agency's goal of trying to recover client losses allows advisors accused of fraud to decide who'll manage their clients’ remaining assets.

Barriers to adoption for RIAs include security concerns and fear of increased client anxiety.

Buyers compete fiercely for available firms even as they assert pricing is not out of hand.

The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.

Over a nine-year period, he allegedly defrauded clients of more than $2.1 million.