Organization Root Tag

CEO Dan Arnold listed three reasons why the firm thinks its rivals peeled off some advisors.

Upgraded portfolios and easier onboarding processes have helped, but more needs to be done, advisors say.

Get ready for advisors to run for the exits.

Jurors in New York federal court awarded Jennifer Sharkey $563,000 in back pay and $563,000 for emotional damage.

Research into the point system for ranking funds questions whether the metric is valid in gauging future performance.

The regulator was looking into customer complaints and arbitration claims that rep engaged in unsuitable trading.

The fourth largest IBD added a super OSJ with $650 million in AUM.

Clients using FundKeeper can open new accounts, perform automated suitability checks and support level load funds under a single platform.

“People need to know what the rules are,” an industry consultant says.

The award marks the largest of its kind this year.

Independent Financial’s haul includes a new affiliated RIA launched by five of the practices.

Positioning clients to weather market volatility and potential correction has become a top concern.

The 22 million Gen X and Gen Y clients banking with Wells are a competitive advantage for its digital advice platform, executives say.

This year's additions to our expanded annual list of CFP Board-registered degree programs.

The firm has signed four big recruiting deals in the past three months.

The independent firm affiliated with Raymond James has been on a recruiting tear this year.

The senior's investments were overly concentrated with as much as 95% of her portfolio invested at times in oil and gas master limited partnerships.

The brokers joined Wells Fargo's independent broker-dealer.

While contribution limits are expected to remain untouched, the country is still facing a retirement crisis, one expert says.

The wirehouses have lost teams overseeing more than $12 billion in client assets over the past month, according to recent hiring announcements.