Organization Root Tag

The group with $175 million in client assets opted for a Ladenburg IBD they think is less likely to change hands in the future, the OSJ manager says.

The losing firms? Morgan Stanley and Wells Fargo.

The ex-advisor and self-described "Money Doctor" solicited older clients on his radio shows, the regulator says.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The value custodians offer RIAs is not going away any time soon, but it is has changed.

It’s not just clients in high-tax states buying up muni bonds.

While Tim Sloan’s total compensation was the smallest among CEOs of the six biggest U.S. banks, his salary was the largest.

Eleven of the 14 dividend-focused ETFs in existence 10 years ago beat a plain vanilla index fund.

Fourth-quarter volatility wrought negative year-over-year results for two-thirds of firms in J.D. Power’s annual survey.

The increased scrutiny focuses on the algorithms at the heart of automated investment decisions.

Home to more than $249 billion, these funds have expense ratios more than 20 basis points higher than the industry average.

Experts say these loans deserve a second look, partly because of a series of federal reforms in recent years.

The 12-advisor practice serves clients in a group often neglected by the industry, its managing directors say.

Salt Financial plans to spend as much as $50,000 to woo buyers into its new low-volatility stock fund.

In a tense back and forth with lawmakers, the embattled CEO pushed back on claims that the bank still pressures employees to hit sales targets and retaliates against those who speak up.

It took less than six months to hammer out the biggest bank merger in more than a decade, and the price was one of the last things discussed, according to a new federal filing.

Still, advisors thinking of selling are urged not to procrastinate.

Bleakley Financial has launched its eighth office under its affiliation with LPL and Private Advisor Group.

Changing filing statuses and maxing out deductible contributions to IRAs and HSAs are some ways clients received bigger reimbursements.

The RIA divisions of Raymond James and RBC are also among the companies that self-reported.