Industry

Greg De Jong took the plunge and sold his $200 million firm to a much larger one for equity, cash and a five-year note. Looking back, he has no regrets.

“If you continue to work the way you have been, you may not be in business in five years,” says United Capital CEO Joe Duran.

You must keep a clean record because longevity and productivity no longer provide immunity from compliance problems, even for top talent, a leading recruiting expert says.

A recent tax law creates a permanent 100% tax exclusion on capital gains from C corporations.

The brokerage firm, which has been hit with millions in regulatory fines in recent years, lost another 91 FAs.

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.