Organization Root Tag

Cathy Bessant is among executives who remain in talks with Wells Fargo, while JPMorgan Chase’s Gordon Smith won’t be taking the job, according to people with knowledge of the situation.

Even as the wirehouse has cut back on recruitment, the hire of two new industry veterans show it’s still looking for top teams.

Summit Brokerage Services will fold 450 advisors into one of the 41 OSJ regions under Cetera Advisor Networks this summer.

Robert Limmer made the move after less than a year at Gladstone Wealth Group.

Genstar puts consolidator Mercer Advisors up for sale.

The chairman dismisses criticism as misguided, but leading investor advocates say he is misstating their views and glossing over real regulatory problems.

Even if it's best for the team, it won't be easy.

The wirehouse’s latest litigation suggests other everyday activities of defectors could come under scrutiny.

An improving economy is boosting an exodus from wirehouses to RIAs.

The firm has shed fund holdings in defensive sectors such as health care and consumer staples.

The firm’s complicated relationship with these fees is indicative of the industry’s overall struggle to find a balance between appropriate compensation and transparency.

The new digital products are a significant opportunity for the bank, experts say.

The average expense ratio among the leading 20 is nearly 40 basis points cheaper than what investors paid on average last year.

The entrepreneur's OSJ also recruited an advisor named after J.P. Morgan and another new affiliated practice.

Two perennial champions retained their top ranks in 2019 — but the aging demographic poses challenges for all firms, according to J.D. Power.

The SEC and FINRA say they’ve held a series of discussions with market participants on how decades-old custody rules might apply to virtual coins.

Outstanding options riding the world’s most heavily traded government debt product are near the highest level this year.

Which is better? An SEP plan or solo 401(k)?

Advisory firms are generating "phenomenal" internal rates of return for PE buyers.

A barred broker told clients the lifestyle media company was about to be acquired, so “they needed to act quickly,” according to the regulator.