Industry

Failing to have a solid succession plan is one of many risk factors that can tank an advisory practice's selling price, industry pros warn.

The avalanche of cases announced Friday included charges against a no-longer registered advisor and firm accused of misappropriating more than $20 million from clients.

We named the largest firms and honored those making an impact in wealth management and technology, among other recognitions in the last year.

Raymond James also recruited from Charles Schwab, and LPL from Raymond James and Merrill

Regulators took the wirehouses to task for not having policies directing advisors to consider clients' best interests.

Executives say the Bank of America subsidiary likely benefited from clients in 2023 seeking a safe harbor from teetering regional banks.

Top deals from Q4 include Wealth Enhancement Group's deal with Levy Wealth Management Group and Cetera's bid for Concourse Financial Group Securities.

The number of financial advisors at America's biggest bank dropped slightly from last quarter but was still up from last year.

Michael Nathanson, CEO of the RIA aggregator, envisions a day in the not-distant future when firms like his will sit on $1 trillion or more in client assets.

A Tax Court ruling that limited partners in an investment manager must pay Uncle Sam could cause some restructuring across the industry, an expert said.