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UBS wants to keep its advisors happy and in their seats. As a result, its 2027 compensation policies avoid the usual grid-update mixture of "good news, bad news."

Osaic expected advisor departures during its massive consolidation of nine separate broker-dealers within its corporate structure. But CEO Jamie Price says the effort positioned the firm well for a future liquidity event. Here's how the independent broker-dealer is rebuilding.

Advisors are still slow to plan for handing down their businesses, in part because of difficulties finding new owners they can trust.

Justin Duke's move from BNY Wealth to Simon Quick Advisors shows how higher fees, rising asset minimums and tighter client constraints are pushing some bank advisors toward RIAs.

As large wealth managers struggle to retain advisors seeking greater independence, Wells Fargo has taken a distinct approach with its FiNet channel. But is the loss of profit margin worth the retention gains?

Gary Carrai draws on his previous experiences as a financial advisor to recognize what sorts of technical advances are most likely to be useful to LPL advisors and clients — and how much change they can tolerate at once.

The big moves hit the Swiss firm as it continues to lose advisors on a net basis — though now it's reportedly sweetening its recruiting offers.

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.