RIAs

In cases heard by an SEC administrative law judge or a FINRA hearing panel, a study finds, 46.7% of broker-dealers, advisors and registered reps succeeded in getting charges dismissed or lowering the sanctions imposed.

Whether you're selling right now or next decade, there are many ways to make any solo practice appeal to buyers.

'The robo-advisors worry us,' said Rush Benton of CapTrust Financial Advisors at a panel on firm valuations.

A new RIA in North Carolina formed by three recently departed wirehouse advisors has chosen to affiliate with Raymond James' custodian group.

Succession planning was the driving force behind the merger, according to principals for both firms.

Despite a commitment by Schorsch to keep top executives, Roth, the former Advisor Group CEO, will head the new management team.

Dynasty began to "unwind" its service agreement with Further Lane following SEC actions against the firm in late October 2013.

A former Morgan Stanley advisor team that managed $600 million in assets has left the wirehouse to join forces with HighTower.

Former wirehouse complex manager Tony Sirianni launches Sirianni Strategy Group, a consulting and marketing firm, to help independent firms attract wirehouse advisors.

Douglas Cowgill, the firm's president and chief compliance officer, attempted to disguise the shortfall from SEC examiners by entering a fake trade in the firm's account records, according to the SEC complaint.