Industry

Without outside help, many planners are falling short on their own financial goals. A few advisors have a solution.

Walk into any wealth management firm, and chances are there won't be any African-American advisors at all. What's causing the diversity gap - and how can the industry fix it?

In an exclusive interview, Tash Elwyn, president of Raymond James & Associates, explains why the firm is enjoying recruiting success and where its future growth will come from.

After working in a nuclear power station, David Fisher decided it was time for a change. His new calling? Financial advisor.

The SEC charged an ex-UBS broker with defrauding elderly clients of $730,000, which she allegedly used for vacations, a country club membership, vehicles and clothes.

Raymond James has picked up a UBS advisor team that had annual fees and commissions of about $1.9 million.

Derek Bruton takes the top job at a firm with historical ties to an advisor that the SEC has barred from the industry.

Focus Financial Partners named Dan Sontag, a former president of Merrill Lynch's global wealth management unit, to its board of directors.

Wunderlich Securities picked up an advisor with $70 million in client assets from Raymond James & Associates.

It's a busy recruiting season for Wells Fargo, which announced that it has added four wirehouse advisors managing about $450 million in assets.