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Adam Cox led the wealth management division of a regional bank for 10 years. His lack of an ownership stake in the business he'd spent so much time building eventually drove him to seek independence.

Ron Kruszewski led Stifel through a year that saw record revenue and strong advisor recruiting, but also a string of legal setbacks.

A three-judge panel on the Fourth Circuit Appeals agrees with Merrill that its deferred compensation policies are a bonus used to reward brokers for loyalty to the firm.

Touchstone Wealth Partners is the fourth team with more than $1 billion in client assets to join Wells Fargo's FiNet unit this year.

The addition of Peter Laidlaw to Merrill's offices in San Francisco comes as firm executives aim to engage in "more aggressive recruiting."

Gabe Lapito thinks many RIA owners who sell their businesses are looking for a big check to fund their retirement. But he and his partners, almost all in their 30s or early 40s, instead set their sights on adding new clients and assets.

Michael Outlaw, the recently named president of Rockefeller Global Family Office, says family offices are defined more by the services they offer than by their relationships with wealthy families.

The LPL–Commonwealth megadeal set off a two-sided scramble. As LPL fought to retain advisors and assets, rivals raced to poach both.

Ameriprise's proposal to raise CEO James Cracchiolo's total compensation by 8% would put him far ahead of many of his direct counterparts at regional firms.

The Apollo Group, a six-person team in New York, is the latest to show that former First Republic advisors are still not completely settled at JPMorgan.

LPL's board proposed a huge boost to CEO Rich Steinmeier's compensation package following a year defined by the firm's acquisition of Commonwealth Financial Network.

Penny Pennington has presided over a wide-ranging overhaul that has seen forays into alternative assets and banking but also heightened rates of advisor departures.

Journey Strategic Wealth President Penny Phillips said advisors who broke off from wirehouses and large brokerages are now returning to big firms. The winners will be partners who can welcome them without compromising their independence.

Snow Pine Private Wealth is the latest in a string of advisory groups to jump from UBS to Wells Fargo.

Tom Cleary and Robert Whittington return to Morgan Stanley to start Southeast Wealth Management Group in Orlando, Florida.

The recruiting deal comes after NewEdge Advisors drew a 24-person team previously managing $1.4 billion for Ameriprise earlier this year.

Lisa Golia, now chief operating officer of the firm's U.S. wealth business, will be in charge of hiring, retaining and paying advisors.

The arrival of Warren-Fantano Wealth Management at Janney will give the regional broker-dealer a new office in Delaware.

The Weikes Slattery Group generated $17 million in annual revenue from locations in New York and California.

The move comes amid UBS executives' acknowledgement that they're trying to strike a balance between keeping advisors happy and improving the profit margin for their U.S. wealth business.