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In an unusual move, the two veteran advisers left the independent channel to rejoin an employee broker-dealer.

Previous investors were happy to let a Canadian firm be the sole investor, says Bill Harris, CEO of Personal Capital.

As Cetera parent RCS Capital moves toward bankruptcy emergence, the IBD will shutter two smaller IBDs, leading to likely loss of unknown number of advisers.

Recent market and economic headwinds have dampened growth at all three firms, which have been striving to grow through recruiting and acquisition deals.

Keeney Financial Group plans to leverage Triad affiliation to grow, firm founder says.

Rates have been on hold amid market volatility and a slowdown in U.S. growth.

From handling the unexpected death of a partner to upgrading tech, planners give their best advice for building a successful practice.

TPM-affiliated banks and credit unions posted a significant 17% bump in fee business in 2015, a welcome development given the new fiduciary rule.

The head of the advisory group also was returning to where his career started.

Prosecutors for two years have been investigating alleged front-running and trading ahead of client orders. The new complaint describes events far more recent.

The regulator says the firm had "widespread failures" in its anti-money laundering programs for both its employee and independent channels.

The Pimco Total Return Fund, Pimco's flagship bond fund, will be soon permitted to invest up to 20% of the Fund in junk bonds, up from 10% currently.

While large brokerage firms pilot digital advice platforms, D.A. Davidson is holding back to see what works and doesn’t, says a top executive.

Megent is planning to expand its union-sponsored retirement plan services.

Even after Congress phased out two popular claiming strategies, you should remind clients they can increase their benefits simply by being patient.

Funds targeting the industry's youngest retirement investors often take the most aggressive allocation strategies – which had the best five-year returns?

The new recruits are industry veterans who oversaw more than $330 million in client assets.

Kate Randall Danella is the second executive to be named to the post in less than four years.

Advisers, get ready to track — and secure — client information streaming in from physical properties and a vast array of accounts.

There is little to fear from the final version of the Department of Labor's regulation, planners say in a new survey.