Organization Root Tag

Joanna Rotenberg, recently of Fidelity Investments, will lead Vanguard's newly created advice and wealth management division starting in 2025.

The wirehouse is accused of not doing enough to prevent employees of its Smith Barney unit from making unauthorized transfers.

A 20-plus-year veteran replaces Manish Dave, who left the post in October.

The nominee for head of the Securities and Exchange Commission, Paul Atkins, will pursue a more deregulatory and crypto-friendly approach than Gary Gensler.

Ex-CEO Dan Arnold's deal is estimated to be worth about 15% of what he would have received had he not been fired.

Wealth Enhancement Group is the second large OSJ to go separate ways from LPL, following Merit Financial Advisors

All these topics and more were the subject of the recent webinar, "Morningstar's 2025 Outlook: Investment Strategies for the Year Ahead."

As the IRS scrutinizes large partnerships, they have new ways to report and correct errors in their returns.

Even though Citizens lost its bid to acquire First Republic in 2023, it has recruited frequently from the now-defunct regional bank.

Billy Long served as a representative from Missouri from 2011 to 2023. 

Paul Atkins has a long history of criticizing industry watchdogs for what he considers regulatory overreach and is expected to take a light hand with the crypto industry.

Net income in the firm's U.S. wealth business revives following losses related to its City National subsidiary a year ago.

The essential IRS rules regarding the downsides — and potential benefits — of earning extra cash on the side.

A former wealth manager contends she was unfairly denied disability payments after fibromyalgia and other health complaints forced her to stop working in 2022.

The founders of HPS will lead a new private financing business unit in BlackRock.

The long efforts to put in place the enforcement mechanisms to attack syndicated conservation easements appear to at last be finalized.

Oden, head of U.S. wealth, private banking, asset management and premier banking at HSBC, was one of the first in the industry to build an online wealth management platform.

With interest rate easing cycles, geopolitical risk and post-election policies, experts looked forward to what's ahead in the new year.

The IRS introduced changes to certain contribution limits to 401(k) and retirement plans for 2025, while some limits will remain the same.

Starting next year, all of its existing RIA non-retirement clients' cash balances will be moved from higher-yield money market funds to FCASH — a lower-yield cash management product.