RIAs

Mary Kate Gulick's case was dismissed with prejudice, a year after the case's allegations against a major RIA drew significant attention across the industry.

The loss of a $129 billion team for Merrill set the high-water mark in a year that also saw the departure of huge teams from UBS, JPMorgan, Wells Fargo and Oppenheimer.

Rockefeller becomes the latest firm to benefit from a steady stream of advisor defections from UBS this year.

These are the stories and issues that readers gravitated to in the last year.

Angel Ayala became the subject of JPMorgan's latest suit against its former private client advisors — "two days before Christmas day when most people are spending time with family," said his lawyer.

A former Procter & Gamble engineer spent years honing his message and targeting ads to make a nearly 100% niche clientele.

A new survey from DeVoe & Co. suggests a big shift in what RIA firms need today in order to attract potential acquirers. (Hint: It's no longer just superstar advisors.)

The GENIUS and Clarity Acts and SEC guidance on custody clear a path for advisors recommending digital asset strategies, albeit with expanded diligence protocols.

The broker-dealer veteran saw her firm's revenue model as a fair trade — even a badge of honor — before going independent.

An industry lawyer warns that RIAs often don't do enough to delineate their responsibilities and shield themselves from liability when they add tax preparation to their service offerings.