Industry

The long-serving executive will step down Jan. 1.

Provide more effective feedback by making it part of everyday work and make assessments more forward-thinking.

The main objection seems that regulators just don't like the unseemly business of selling products to customers who might not want them.

Reuben Rashty will lead Mirador Family Wealth Advisors. He succeeds Glen Johnson, who will transition to a new leadership role.

Founded by former wirehouse advisers, XML Financial is the seventh firm to join the IPO-bound RIA aggregator this year.

The former RIA and fund advisor was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.

Relura Horton, former regional managing director at Fidelity Custody and Clearing, hopes to attract more women clients to her new firm.

The long-running battle by two CFPs against the board comes to an abrupt end.

Keith Rowling rejoined this elite group for a second year in a row.

See which independent broker-dealers are beating their larger competitors in attracting new client assets.