RIAs

UBS Group CEO Sergio Ermotti said the bank will give investors an outline of its growth strategy early next year and signaled the direction of plans to grow in the U.S., as the lender moves forward with its merger with Credit Suisse.

GlennCap and its founder stood accused of directing the best investment returns to clients who paid the most.

The father-and-son firm Francis Group cites client demand and freedom from sales goals as reasons for their move.

After the ink dries on the contracts and the press releases are out, wealth management firms still need to put in the work to make a deal succeed. Here's how.

The industry group wants the federal regulator to do more to take into account how proposed regulations are likely to affect the majority of wealth managers.

The appointment comes as the storied Wall Street dealmaker seeks to build its ultrahigh net worth business while providing support services to independent advisors.

The Wall Street giant's biggest restructuring comes as prepares to welcome Andy Sieg to oversee its ambitions with high net worth clients.

The SEC accused the firm of raising a sixth round of funding even though red flags were popping up left and right.

Lead generation and client matchmaking service SmartAsset excluded any firms that made M&A deals in the past three years to create its ranking.

State regulators discovered fewer deficiencies with investment advisors but some say they could be doing more to protect vulnerable clients.