Organization Root Tag

The new recruits signed on with the firm’s independent and employee broker-dealer units.

The bank allegedly helped French clients evade taxes.

Evolution Financial Advisors has grown to 86 advisors with $2.6 billion in client assets under Securities America.

The No. 1 IBD also nominated a new board member and tapped key executives for advisor support and government relations.

Without advisor buy-in, scale can't be achieved, the tech executive says.

Advisor headcount reached 2,160 advisors for the first quarter, up a net 43 from the year-ago period.

The mutual funds and ETFs that ranked at the bottom of the sector still benefited from a “long-running bull market,” an expert says.

The changes follow a challenging first quarter for the firm’s wealth management operations.

With an eye on a future sale, the $48B RIA wants to build enterprise value.

The firm said earlier this year that it would deepen cost cuts.

Advisors share their tips to avoid the frenzy over Slack, Uber and the next big thing.

The advisors are the newest additions to the firm’s expanding brokerage ranks.

Independent Financial Partners aspires to be a “very, very small agent for change.”

The Invesco QQQ Trust dropped as much as 0.6% after Google’s parent company reported first-quarter sales below Wall Street estimates.

The firm hopes the changes reflect its image as a “powerful, innovative and unified provider” of investment products, according to co-CEO Nico Marais.

The SEC is giving serious side-eye to firms with part-time or underqualified compliance officers.

CEO Walt Bettinger says advisors tell him they aren’t worried about the new pricing model.

Bank critics and some lawmakers quickly seized on a tone-deaf posting by JPMorgan Chase that was designed to tout the virtues of saving money.

The SEC and FINRA have launched groups focused on better understanding this growing area of the industry.

An advisor was terminated after accepting money from a brother, who was also a client. Is such a loan allowed?