Organization Root Tag

Net revenues fell 2% in the second quarter compared to a year ago, according to the firm.

Wells Fargo's independent arm landed seven recruits in its latest efforts to add more than the 102 advisers recruited from competitors last year.

Fidelity practice management program includes planning, funding and research aids.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

The bank misled mutual funds and other custody clients about how it priced their foreign currency trades, the SEC alleges.

Custodian entering crowded field; minimum initial balance will be $5,000.

In his underdog bid in North Carolina, Andy Millard says he's fighting big Wall Street money: "The financial consumer is not well represented in Congress."

The recuits joined the wirehouse from Deutsche Bank, which is selling its U.S. Private Client Services unit to Raymond James.

The regional BD also recruited a complex manager from J.P. Morgan.

Find out where our annual list of financial planning degree programs at colleges and universities fall on the map.

Thomas Dicker will oversee the firm's 38 U.S. wealth offices and will be responsible for driving growth.

Winnie Sun, of Sun Group Wealth Partners, and Paul Rand, of The Rand Group, break down the obstacles and advantages of making the switch.

Consultants are turning to technology as the SEC ramps up RIA exams.

The funds often benefit from a low-cost halo, but they don't all deserve to bask in that glow.

The former wirehouse group, which specializes in retirement plan consulting and planning, worked mostly with institutional clients before making the move.

See which independent broker-dealers have the most high-end reps, plus dive into the average production for the top 10.

The independent firm affiliated with Raymond James lured a wirehouse recruit with close to 20 years of experience.

The alleged wrongdoers transferred client money to their wives’ accounts, the commission says.

Brokers whose deferred pay has been withheld could soon file claims after the regulator confirmed advisers' right to take disputes to FINRA arbitration.