Practice

A former UBS Advisor with more than $130 million in assets and $1.2 million in annual production made a move to RBC Wealth Management-U.S.

The SEC’s enforcement division has tightened oversight of advisors by focusing on some specific, often-times arcane practice areas.

Small firms need continuity strategies to protect themselves if an advisor dies or is incapacitated.

RBC Wealth Management-U.S. has recruited a former Morgan Stanley executive director to help with the firm's growth plans.

If you intend to grow, commit to a sales-centered grind with upfront costs -- but expect a payoff down the line.

Majority Leader Eric Cantor's stunning defeat in Virginia's Republican primary Tuesday evening could usher in a new political era for the House — one that's likely to leave its imprint on the banking industry.

U.S. Capital Advisors, a small regional firm in Texas, has recruited five former UBS and J.P. Morgan advisors who managed more than $500 million in combined client assets.

In an amicable divorce, advisor Lilli Vasileff's job is simple. But if one spouse is trying to hide assets, the work gets much more complicated.

There will be another recession at some point, but advisors should have time to help clients prepare.

The U.S. IRS issued a ruling yesterday clearing the way for institutional investors to seek changes to incentive fees assessed by hedge funds, which may make it cheaper for them to invest in such offerings.