RIAs

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

The group includes two recruits who began their careers in the late 1970s.

The recruit joined a practice opened by a former complex director from the same wirehouse.

The wirehouse is also reorganizing how it deploys a number of product and service consultants and technology specialists.

The wirehouse advisers generated a combined $2 million in annual revenue at the time of their departure.

Established firms have an edge as the M&A market moves toward another record year.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

This in-house position helps one firm attract larger clients and build contractual relationships with descendants.

A long-awaited IPO comes with many questions.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.