Industry

Running your own RIA is difficult, but starting a new business is even more difficult. Dave Grant takes us on his journey.

The platform will provide Dynasty’s advisors with a turnkey solution for writing fixed life insurance, annuity, disability, and long-term care contracts.

Kirk Mandlin has a simple goal for this year and any year. "To be the best leader, husband, and father I can possibly be," he says. With the power of positive thinking, Mandlin expects to use those strengths to expand his business.

Rob Malenfant worked his way up the ranks at Smith Barney, spending several years in Connecticut, New York, and Los Angeles before returning to Boston as a branch manager. The variety of experiences and people he worked with inspires him now at his Boston Harbor complex, he says.

This year, the leading wirehouse and regional wealth management firms took the steps necessary to ensure they reap rewards as markets hit new highs.

Is the boom over? After years of double-digit growth, independent broker-dealers hit a rough patch in 2012. We report from the front lines of the FP50.

The best bank managers and best wirehouse managers have a lot in common. While each has the distinct flavor of their respective channels, they are very similar in spirit.

Royal Bank of Canada was ordered to pay more than $800,000 to a U.S. couple over their losses on investments including Lehman Brothers Holdings Inc. preferred stock.

As selling stocks gets tougher, the number of brokers has dropped 12 percent since 2008 to about 363,000 last year. Edward Jones is finding success by sticking to its old ways.

Henderson Global Investors' foray into the US market began at an inopportune time: It launched its first three funds on August 31, 2001, days before the September 11 attacks.