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Several of the largest moves this year show top talent is looking beyond traditional choices.

Several big banks are getting into the business, mostly by forming partnerships with fintech companies. Smaller banks are expected to soon follow suit.

In his new position, Roman will replace Douglas Hodge, who presided over a tumultuous time that included the departure of Bill Gross and a plunge in assets at the firm.

The San Francisco-based venture fund was joined by existing Guideline backers NEA and Lerer Hippeau Ventures in the round.

Kirstin Turner, RBC’s only female complex director, seeks to instill pride and comradery at the office, while volunteering in her community.

The asset manager co-founded by Bill Gross has suffered internal turmoil since his departure in 2014.

The executive has added 15 new advisers this year and plans to add 15 more by the end of 2016, bringing the total broker force to 130.

Two firms were fined over $100,000 for not disclosing nearly $5M in loans to clients.

Retirees may receive no increase in benefits in 2017, as the Social Security Trust Fund says that the cost-of-living-adjustment could range between zero to .7%.

These funds are by definition heavily volatile, but if you were well-timed you might be deep in the money. For those who’ve played the sector for a few years, the pain runs deep.

Firms and brokers would contribute to a pool to compensate investors who were defrauded but are unable to collect, according to one recommendation.

With markets struggling to forecast the outcome and Donald Trump's erratic moves, planners are worried about how the new government will impact their business.

The Birmingham, Ala.-based bank generated $103 million in second-quarter revenue from its brokerage, trust and insurance operations, up 6.2% year-over-year.

A class action suit against Fujitsu Technology and Business of America and similar cases alleging fiduciary breaches may signal an oncoming wave of litigation targeting small retirement plans.

With more than 15,000 advisers overseeing $1.4 trillion, the wirehouse would be one of the largest entrants into the digital advice space.

With clients anxious after all the lobbying, advisers have some preparing to do.

Technology changes the way products are priced, bought and sold.

The recruit joined the elite firm's outsourced CIO team after more than a decade at SEI Investments.

Technology changes the way products are priced, bought and sold.