Organization Root Tag

The regulator wants the exam process to be a dialogue with firms and advisers.

The move is the latest in a string of new hires at the regional brokerage firm.

The CEO of a large custodian firm challenged advisers to take on diversity or become irrelevant.

The OCIE is suggesting best practices for firms to protect themselves.

The broker says the decision to switch firms was "an easy one."

The firm's latest hires joined from regional brokerage D.A. Davidson.

As second-story advisers, they can focus on servicing their books without the burden of helping the branches with training and sales development.

Robert Cook detailed his multi-year overhaul aimed at easing compliance, revisiting old rules and rooting out bad actors.

The broker who specializes in international clients joined Bolton Global Capital.

"This space is getting more diverse, and change is coming from all directions," says Alois Pirker, research director for Aite Group's Wealth Management practice.

Studies show smart beta beating their benchmarks more than active managers.

When markets are high, everyone feels like genius, but they still have to pay expenses. Help clients keep them low.

Former Vanguard CEO Jack Brennan says the Labor Department has already succeeded in swaying firms and investors over to best-interest advice.

Led by a 33-year industry veteran, the group joins the regional firm from UBS.

Many government retirement benefits are taken for granted by advisers, but still confuse clients. Here's what needs special attention.

In 2016, the SEC brought a record 868 cases, including 173 against broker-dealers and advisers and 159 against investment companies.

The regional firm's latest hires come just a week after it hired a Morgan Stanley branch manager.

The recruit will be a producing branch manager and oversee 10 advisers, according to his new employer.

The launch comes as banks and other players in the advisory industry vie for the $30 trillion in wealth that is expected to change hands in next several decades.

The partnership marks the second since two private equity firms infused the aggregator with capital.