Industry

A couple who bought a business using money from their self-directed IRA faced a big tax bill as the value of the business increased; Plus, how to transition your clients before you retire.

Raymond James & Associates lured away a wirehouse team with $116 million in AUM.

The wirehouse named former football pro and advisor William Thomas to head the firm's San Francisco complex.

From the breakthrough performance of 'robo advisors' to Schorsch's big grab, the advisory industry has seen major changes in 2014. Here's a look at the most important events and trends pushing the industry forward this year.

The National Adjudicatory Council upheld an earlier ruling finding Wedbush liable for failure to file accurate and on-time reports of customer complaints and broker registrations.

RCS Executive Chairman Nicholas Schorsch and two other top executives resigned from American Realty Capital Properties.

A Wells Fargo team left the wirehouse to join Raymond James & Associates.

The industry saw ETF inflows break a record, Russell Indexes liquidating a fund and mergers between asset manager service providers.

UBS advisors with growing practices may earn more money in 2015.

Former Convergent Chairman Steve Lockshin offers his take on events and issues surrounding the suicide of his friend, ex-Convergent CEO David Zier.