Industry

Should advisors fear digital wealth management incarnations like Vanguard Personal Advisory Services?

To attract and keep successful clients, advisors need to be transparent about fees. Here’s how one advisor navigates those touchy conversations.

A FINRA panel ordered the wirehouse to pay a client $95,000 for losses relating to bonds issued by the island commonwealth. By contrast, UBS says it faces more than $1 billion in similar claims.

Filing expected Sunday; advisors expected to receive distributions through retention packages.

After an abrupt exit from industry, Brown returns and reveals plans for the country's largest woman-run IBD, along with Lightyear's Donald Marron and Advisor Group's Erica McGinnis.

The group, Hoyt, Lewis, traces its roots to Waddell & Reed before joining LPL.

Depending on what is permissible under the Labor Department's forthcoming rule, "there will have to be adjustments on the part of the advisor and on the part of the firm," CEO Jim Cracchiolo says.

Norm Champ, a former SEC official who shaped rules meant to prevent runs on money-market mutual funds, is joining law firm Kirkland & Ellis.

A recruit with more than 30 years experience moves his independent practice to Wells Fargo.

UBS executive Jason Chandler explains how a determined pitch landed him his first management position and a key mentor.