Industry

Adam and Daniel Kaplan kept getting jobs at RIAs despite the disturbing allegations that led to their firings at other firms.

Two porcine pals, two investment styles, two very different outcomes.

Two brokers who left Charles Schwab to join the rival firm thought they were safe to bring their client books with them. FINRA says they were wrong.

With billions of dollars on the table, both buyers and sellers want deals to close quickly and transitions for clients to be implemented smoothly. But success is not always guaranteed.

Five financial advisors with $1.45 billion in client assets and seven support staff members moved to the independent brokerage's breakaway channel.

Despite the double-digit drop in RIA M&A volumes this year and at the firm in 2022, dealmakers say the move will boost its value and available capital.

A new report from industry recruiting firm Diamond Consultants shows the top trends in recruiting and deals for 2022, a year when things got intense in the last six months.

In addition to the major robo-advisory deal, this week's recap features new partnerships for Vestwell and Riskalyze, and a new leader at Advisor360°.

Despite some signals that deal volume is slowing down in 2023, acquirers say the expanding breadth of client needs is driving more consolidation.

Vince Fertitta, the president of Sanctuary Wealth, shared how the firm won over its most productive wirehouse breakaway team to date.