Organization Root Tag

The rep declined to provide the regulator with documents it needed to investigate allegations that she converted $13,000 for personal use.

The firm's success bucks a long-held premise that investing in developing markets requires active managers responding to sudden shifts in political risk.

While first-quarter revenue from insurance services fell 7.5% year-over-year, the overall wealth management business still managed to come out ahead.

With over $700M in AUM, Next Capital Management is the firm's biggest addition this year.

The moves build on management changes made earlier this year.

At least 17 ex-wirehouse brokers bolted for the firm’s employee channel in the first quarter.

The wirehouse's executives think they've struck on the right formula to boost growth through a simplified comp plan, greater autonomy and an attractive retirement package.

The Buffalo-based institution generated $120 million in first-quarter revenue from trust services, up 8% year-over-year.

The new offerings could boost returns to investors by 50 basis points, according to a Morningstar study.

A look at starting payouts for elite wealth managers.

How do smaller firm avoid paying six-digit fines for administrative shortcomings?

The settlement is the third major regulatory payment the BD has incurred in the past year. A branch manager associated with the Jay Peak case has also left the firm.

The RIA's parent company is set to buy a very large adviser aggregator. If completed, it would be the biggest transaction of the year.

The group includes a father-daughter duo who have worked together for 25 years.

First-quarter revenue jumped 9% year-over-year even as the number of advisers fell by 10%.

The adviser allowed her disabled sister to die of untreated bedsores, according to the D.A. It’s the first known such case involving a CFP, says the CFP Board.

The new recruit's business focuses on Latin American clients.

The firm won a rejection of her $1 million claim, promissory note damages, legal fees and interest.

Net income and client assets grew even as the firms' headcount continued its steady decline.

To grow, the firm is pivoting from its focus on training new brokers to poaching talent from rivals.