RIAs

Founded by former wirehouse advisers, XML Financial is the seventh firm to join the IPO-bound RIA aggregator this year.

The former RIA and fund advisor was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.

Relura Horton, former regional managing director at Fidelity Custody and Clearing, hopes to attract more women clients to her new firm.

The long-running battle by two CFPs against the board comes to an abrupt end.

Keith Rowling rejoined this elite group for a second year in a row.

A father, son and daughter leave the wirehouse to form their own business.

New capital from outsiders is adding $50 million to the RIA's war chest.

Automated investing platforms are making it tougher to charge for some financial advice, says Tiburon Strategic Advisors.

Beacon Pointe’s latest deal puts the wealth manager over the $2B AUM milestone, and it’s eyeing new markets.

Only 2% of clients refer someone because their adviser asked. Instead, word-of-mouth is the best strategy, and digital marketing is one way to get it.