Organization Root Tag

William Heinzerling, who has led Stifel’s fixed-income business since 2009, is leaving the firm, according to people with knowledge of the matter.

President Tom Naratil says the firm will recruit less, spend more on advisers already at the firm and give additional power to branch managers.

The president makes good on his vow to kill legislation that would roll back the new regulations on retirement plans.

The regulator also says that the firm suffered from supervisory failures during a four-year period.

It's expected that digital platforms will help advisors focus their offerings to serve specific client segments.

The question a Cetera advisor says he never wanted to get from a client: "How come this is $88,000 instead of $100,000?"

While mostly the purview of the big firms, smaller RIAs can get in on the act too. But they need to do their homework first.

John Zimmerman, president of an asset-management firm, will lead a team of approximately 10 professionals.

The new regulations are “arbitrary and capricious," a trade organization asserts.

The recruit was overseeing 100 advisers responsible for $15 billion in client assets before joining the breakaway firm.

Prior to her financial services career, the recruit was a U.S. Army reservist working as a Russian linguist.

The Federal Reserve chairwoman was mum about when there might be another hike, which for some suggests she's not in a hurry.

Fixed-income yields may feel low, but foreign investors facing negative yields at home are making the U.S. markets popular.

The adviser claimed she was unjustly fired from First Citizens Bank for allegedly making unauthorized bonus payments to her two sales assistants totaling $9,000.

The adviser, who has more than 30 years of industry experience, left to join Noyes.

The wirehouse's latest recruit generated about $1.9 million in production.

Advisers can use these strategies to help clients get through a marital split, says BNY Mellon wealth strategist Justin Miller.

Acting as a fiduciary when a client decides whether to put a company’s retirement funds in an IRA involves considering these important variables.

Banks are racing to incorporate new technology to fend off new entrants seeking to steal established firms’ customers.

The 529 market has nearly doubled over the past five years, reaching a record-high $227 billion in AUM by the end of 2015.