RIAs

The regulator's Office of Compliance Inspections and Examinations plans to beef-up focus on longstanding areas of concerns in the RIA and brokerage space.

Acquisitive advisory firms, private equity and banks are expected to be big buyers.

Acquisitive advisory firms, private equity and banks are expected to be big buyers.

The new recruits move to the independent side of Wells Fargo.

Family-owned Johnson Bank will boost its AUM to $8.5 billion after the acquisition of the Milwaukee-based RIA.

Beleaguered RCS Capital to give details of an advisor retention plan by Jan. 8

Pathstone's merger with Federal Street is "a defining deal for firms serving the UHNW segment," says industry consultant Jamie McLaughlin.

The acquisition of the RIA firm is expected to increase BOK's assets under management by about $340 million.

A willingness to learn and adopt technology when it was still considered a fad helped John DiCiaccio refine ways to use it effectively in his practice.

Fidelity’s David Canter takes a hard look at the most-important issues for independent RIAs in the coming year.