Industry

The Swiss wirehouse hit the founding partners of an $8 billion firm with a lawsuit.

As daunting as creating a transition strategy seems, the sooner advisers start the more successful it is likely to be. Here are some tools to start the process.

The Connecticut office tallied 14 new hires in the past twelve months, the firm said.

The Labor Department is receiving a deluge of feedback from advisers and investors on whether to revise its controversial regulation.

The new executive will lead a team counseling advisers on how to comply with the DOL rule.

The Labor Department has indicated that further revisions to the regulation could be forthcoming.

"It’s never been a better time to be a seller," says investment banker Liz Nesvold.

This year has seen more moves, bigger moves and more expensive moves.

Daniel Wani will command a team of 18 wealth management professionals providing a range of services to wealth clients in both states.

Only about 5% still charge them, according to a Financial Planning study.