Industry

The Washington, D.C., area firm hopes its six-member board will help it better understand and serve female clients.

Raymond James is recruiting the industry's top talent at the expense of the wirehouses.

Advisors are facing 'the most aggressive regulatory environment I have ever seen,' a securities lawyer tells RIAs at a Fidelity conference this week.

Wells Fargo is adding Bob Vorlop and Joe Nadreau to its executive, according to Mary Mack, president of Wells Fargo Advisors.

A Morgan Stanley broker and the managing clerk at the law firm Simpson Thacher & Bartlett LLP were arrested today for an insider-trading scheme that authorities said netted $5.6 million in illicit profit.

As more people live into their 100s -- and as families in which four or five generations overlap become commonplace -- some core elements of financial planning need to change, says one longevity specialist.

A sharply increasing number of plan sponsors want financial advisor guidance -- but many of the RIAs on Fidelity's platform are just dabbling in the area, the custodian says.

Community banks are revamping branches and offering new services in an effort to become trusted advisors to small businesses. Such a transformation is often easier said than done.

Janney Montgomery Scott recruited a veteran Merrill Lynch advisor with $1 million in production.

Having a long-term horizon for the sale of a business puts the owner in a better position to optimize tax strategies. It's also an opportunity for advisors angling for the investment business a sale will produce.