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The regulator claimed he sold $2.63 million in equity-indexed annuities without disclosing the business to his employer, U.S. Bancorp Investments.

Advisor Kevin Keith pointed to HighTower’s technological capabilities and a fiduciary culture in his decision to leave the wirehouse.

Pair a staffer junior with a senior advisor; they just may come up with something.

Smaller wealth management platform providers are aggressively pitching themselves as the more nimble options for RIAs.

Chief executive Jay Shah says a public offering will happen, "when the time is right."

Advisors are responding to growing interest from clients to track and even trade the digital coins.

Social Security, pension type, and education are factors that have contributed to the rise in the retirement age since the mid-1980s.

The recruits are a boost to the growing regional firm's footprint.

Ex-Merrill Lynch brokers are joining the firm as it looks to grow in the Northeast.

An acquisition may pivot on making sure the RIA's nearly 200 advisors stick around after a deal closes.

As RIAs and regulations reshape the industry, the concern is real, a new Cerulli report says.

Regulators want advisors' social media addresses to help them identify audit targets, one expert says.

Advisors should embrace videos and infographics and think about how they're using social media.

Managers are asking the SEC to relax constraints it imposed on the funds as they become the fastest growing products for investing in equities.

The right debt strategy can help clients make better decisions with capital allocations.

The products protect clients against losses, but significant caveats emerge in the fine print.

Despite a sales dropoff, experts forecast growth from product innovation and latent demand.

While coping with the killing of a beloved colleague, EFS Advisors scrambles to protect his clients.

Let wealth planning, CRM and portfolio rebalancing software do the grunt work.

Clients should not assume that Medicare will cover all their medical expenses, or that they'll see a decrease in their expenses after they retire.