Organization Root Tag

Two advisers joined Confluence Financial Partners, which is affiliated with Raymond James.

The first independent robo to reach the milestone.

The firm filled out its senior management ranks with LPL's Jeffrey Buchheister, who said that he is joining the firm at a "watershed" moment.

The wirehouse will be the first full-service wealth manager to offer the new ETF-mutual fund hybrid to clients.

The firm's latest hires come from Morgan Stanley and Raymond James.

The bill was for 220 hours of attorney's work, which the judge called "excessive on its face" for a case that included no oral arguments.

The firm admitted to wrongdoing, saying the incomplete trading data was due to a computer coding error.

A firm's approach will have "a material impact on an adviser's service delivery, technology spend, business model and, last but not least, brand," an analyst says.

Wealth management firms need to acquire their own robo platforms because digital startups represent a real threat with "a long runway for growth," the analyst says.

The IBD's top technologist's question for firms seeking upgrades: Are you sure you understand how you want to go to market?

In contrast to the predictions of an overthrow by robos, technology may save the relevance of some advisers.

A search is underway to replace Mary Mack, who will transition to a different unit.

While the value of broad diversification becomes evident over 15 to 20 years, its virtues will often be noticeable even over shorter time frames.

Several of Dawn Bennett's clients suffered major investment losses, "with two losing $1 million and $17.6 million," according to the SEC.

Mental ability for managing stress and success will make the difference.

The two ex-wirehouse advisers each had about 20 years of industry experience.

Taxes are one of life’s sure things, but clients can still make changes after the filing deadline. Here’s how.

In their zeal to comply with the Labor Department's fiduciary rule, firms could find themselves in regulatory hot water for reverse churning.

Advisers join the regional broker-dealer from Wells Fargo and Charles Schwab.

The largest recruits managed more than $17 billion in client assets.