RIAs

Representatives of the industry argue the changes would fall particularly hard on planners who are authorized to make trades on behalf of clients.

Planner Jennifer McCosley joined the RIA with about $28 billion in assets under advisement across 45 locations.

Wealth advisors seeking the highest-earning clients should look to 30 key geographic areas, some of them not household names.

The financial services firm continues to go before FINRA arbitration panels to defend itself against claims over ex-broker's actions.

One of the largest fee-only advisory firms in the country picked up a team that has grown by a factor of 9 over the past three decades.

The firm and an advisor kept clients in leveraged funds for extended periods, even though they were often meant to be held for a single day.

But the firms continue to close faster than new ones open, suggesting consolidation remains an industry trend.

Offer value to financial advisor-adjacent professionals and prospective clients to distinguish yourself among a rapidly expanding cohort of FAs.

Planner Pamela Perskie's advisory practice, which serves musicians, NBA players and real estate and private equity executives, left Mariner to start its own firm.

The banking giant's asset and wealth management arm boasts more than $4.3 trillion of client assets.