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Deutsche Bank plans to sell its U.S. private-client brokerage unit, according to people briefed on the matter.

HD Vest will marry its data mining capabilities and lineup of advisors to Blucora's free online tax preparation platform, but CEO Roger Ochs won’t call it a robo.

"The Barclays teams needed to make a decision quickly, but we're also talking to several more teams who are not with Barclays," says Tom Palecek, Summit Trail Advisors partner.

Barclays lost a team to RBC, the latest defection since the British-owned firm agreed to sell its brokerage unit to Stifel. This is the first to go to a regional brokerage instead of a wirehouse or high-profile boutique.

Executives say intuition, networking skills sets female advisors apart from their male counterparts.

The bank generated $464 million in revenue from wealth management, up 3.3% year-over-year. Profits, however, were flat.

The chief executive of the self-regulatory organization urges against duplicating regulatory efforts, and adds that big data will soon define how regulators operate.

Failure to communicate NAV transfer rules can be costly to investors and brokerage firms.

Jeffrey Gundlach reached $50 billion in assets at his main mutual fund this week, the fastest an active stock or bond manager has achieved the milestone.

Treat their tax liabilities as expenses, and plan accordingly.