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These wealth management execs, among the best in the channel, oversee their teams in the midst of major industry changes brought on by technology, demographics and smaller branches.

Robert Crowe, through his lawyers, is arguing the facts of his case should prevent the SEC from bringing charges of securities fraud against him.

The shift to passive has caused much soul searching, not to mention cost cutting, at some of the world's biggest money managers.

The clock is ticking for the onset of an incredibly far-reaching new fiduciary rule. Here’s who it helps — and hurts.

“Our growth is going to be organic,” says Raymond James Financial CEO Paul Reilly, who adds that he has “concerns” about the DoL rule.

New reporting requirements allow the feds to focus on hard-to-value holdings in order to boost taxable required minimum distributions.

Mark Immel had been awarded $450,000 in arbitration but faced further legal battles.

Net income also dropped to $319 million, or 79 cents a share, from $373 million, or 89 cents, a year earlier, the firm reports.

Investors paid 61 cents for every $100 managed in 2015, down from 64 cents in 2014 and and 73 cents five years ago.

"Direct-to-consumer is not our model," says Scott Curtis, president, Raymond James Financial Services.