RIAs

Phil Shaffer says changes in the business necessitated a career change if he was to maintain an edge in serving clients.

The broker claims in filings that he was harassed by the bank, culminating in his firing in February of last year.

Over 75,000 advisors in the U.S. will be affected by what is expected to be the most significant version of CFP standards to date.

The new hire previously managed three UBS locations that generated $110 million annual revenue, according to the regional broker-dealer.

New standards for advisors cover digital advice, third-party relationships and expand fiduciary duty obligations.

A primer on characteristics that enable advisors to build a successful practice that entails very little marketing.

Louis Blazer III used client funds to finance 'Mafia the Movie,' according to the complaint.

Two of the groups joined the regional firm from Morgan Stanley.

Dan Rothenberg of UBS says it's given his team an "easier hurdle to be beat rather than a benchmark."

Managers can use these methods encourage employees to work together, according to columnist John J. Bowen, Jr.