Industry

The shaping of this year's list reveals plenty about the shifting dynamics of the RIA industry.

Bank and broker-dealer affiliations help RIAs bear the technology and compliance costs of growth, but can chip away at objectivity.

With fiduciary advisors taking market share from the brokerage firms, will FINRA exact payback? Here's a glimpse of what may come.

Senate Minority Leader Mitch McConnell said lawmakers in Congress are “very, very close” to a deal to avert $600 billion in tax increases and spending cuts set to start at midnight.

Advisors naively believe that only 17% of their clients hold a direct account when in fact 74% do, according to a new report from Boston-based research firm Cerulli Associates.

WHV Investment Management today announced that Andrew Turner will join the company as president and chief executive officer, replacing Judith Stevens who is retiring next month after more than three decades with WHV.

Parametric Portfolio Associates, a subsidiary of Eaton Vance Corp. (EV), and The Clifton Group Investment Management Company announced today the completion of the previously announced purchase of Clifton by Parametric.

As the calendar turns the page to another year, 2013 offers the four largest U.S. wealth management businesses the opportunity to recapture some of the assets and talent they have been ceding to other firms.

Allen Saunders went from pet food distributor to UBS financial advisor to number 36 on On Wall Street’s 2012 list.

This year was a “slower year than many expected,” in terms of financial advisors departing major firms for other pastures, according to Chip Roame, the managing partner at Tiburon Strategic Advisors. “I believe 2013 may be slower, too,” he says.